Rule 10 Protective Orders; Procedures For Handling Restricted Documents

United States District Court - Northern District of Illinois

General Rules

Rule 10

Rule 10 Protective Orders; Procedures For Handling Restricted Documents *

A. Definitions

The following definition shall apply in interpreting this rule:

(1) A "restricted document" is a document or an exhibit filed in a proceeding in this Court to which access has been restricted either by a written order, such as a protective order entered pursuant to F.R.Civ.P. 26(c), or by a rule, such as local Criminal Rule 1.04 (e).

(2) A "sealed document" is a restricted document which the court has directed be maintained within a sealed enclosure such that access to the document requires breaking the seal of the enclosure.

(3) A "document awaiting expunction" is a document or an exhibit in a proceeding which the court has ordered held for possible expunction pursuant to 21 U.S.C. §844(b)(2) but for which the period for holding prior to final destruction has yet to pass.

(4) A "protective order" includes any protective order entered pursuant to F.R.Civ.P. 26(c), any other order restricting access to one or more documents filed with the court, or any other order which provides that certain documents or exhibits to be filed with the court at a future date may be filed as restricted or sealed documents as determined by the order.

B. Clerk To Maintain Secure Filing Area For Restricted Documents

The clerk shall maintain restricted documents separately from the files of documents to which access has not been restricted. Any area used to store restricted documents shall be secure from entry by any persons other than the clerk or those designated in writing by the clerk as authorized to have access.

C. Order Restricting Documents*

The court may on written motion and for good cause shown enter an order directing that one or more documents to be used in a proceeding be restricted. The order shall also specify the persons, if any, who are to have access to the documents without further order of court. The minute order accompanying the order entered pursuant to this section shall set forth any qualifications as to access and disposition of the documents contained in the order.

D. Filing Of Restricted Documents

The clerk shall designate in writing deputies authorized to accept restricted documents either from chambers or for filing pursuant to protective orders.

Anyone filing a restricted document shall attach a cover sheet to that document. The cover sheet shall include the caption of the case and the title "Restricted Document Pursuant to Local General Rule 10." The cover sheet shall recite that the document is filed as restricted in accordance with an order of court. A copy of the order shall be attached immediately behind the cover page. The attorney of record or unrepresented party filing the document shall sign the cover sheet. Any documents filed without the cover page or copy of the order making the document a restricted document required by this paragraph shall not be treated as restricted documents. The clerk is authorized to open any such document and process it like any other non-restricted document.

Any documents tendered for filing under the terms of a protective order shall be subject to the prohibition against filing discovery materials provided for in Rule 18 of these Rules. Where the materials tendered under protective order are tendered in a sealed enclosure, the following statement shall be written on the enclosure: "This is not material relating to discovery."

Materials accepted for filing as restricted shall be maintained in a secure area until collected by one of the designated deputies. Where the materials so accepted are being filed pursuant to a protective order, the deputy accepting them will stamp the cover of the document with a FILED stamp indicating the date of filing.

E. Docketing Restricted Documents

Where a restricted document is filed in a proceeding for which a docket is maintained the document will be docketed in the same manner as any other document except that the entry will indicate that the document is restricted, unless the court, for good cause shown, orders that the entry show only that a restricted document was filed without an indication as to the type of document.

F. Sealed Documents

Where a document is ordered to be sealed, it is to be delivered for filing pursuant to section D of this Rule with the seal on the enclosure intact. If the document is sent from chambers or returned from an appellate court with the seal broken, one of the deputies authorized to handle restricted materials pursuant to section B of this Rule will forthwith deliver the document to the courtroom deputy assigned to the judicial officer to whose calendar the proceedings in which the sealed document was filed is assigned. If that judicial officer is no longer sitting, the deputy will forthwith deliver the document to the courtroom deputy assigned to the emergency judge. The courtroom deputy will promptly bring the document to the attention of the judge. The judicial officer will either order that the document be re-sealed, or order that it continue to be handled as a restricted document, but not as a sealed document, or enter such other order as required to indicate the status of the document. Where the document is to be resealed, the judicial officer or courtroom deputy will reseal the document and transmit it to the appropriate deputy in the Clerk's Office.

Where under the terms of a protective order a party is permitted to inspect a sealed document and that party appears in the Clerk's Office and requests the document, one of the deputies authorized to handle restricted materials pursuant to section B of this Rule will obtain the document and provide an area where the person may inspect the document other than in the public area of the Clerk's Office. The deputy will complete a form showing the date, description of the document, the name of the person requesting access to the document, a statement indicating that the deputy has checked the protective order and it does indeed authorize the person to inspect the document, and a statement that the deputy requested of and was shown identification by the person requesting access to the document. If the person wishes to break the seal and inspect the document, he or she must sign the form completed by the deputy to indicate that they are authorized to inspect the document and have broken the seal. After the person has completed the inspection, the deputy will follow the procedures set out in the previous paragraph for handling the re-sealing of the document.

G. Maintenance Of Grand Jury Documents

The clerk shall maintain documents arising out of or connected with grand jury proceedings as restricted documents subject to the provisions of this Rule, Rule 1.04 of the Criminal Rules of this Court, and Rule 6 of the Federal Rules of Criminal Procedure. Such documents shall be maintained for not less than ten years following the date of filing or entry if not related to a specific grand jury proceeding. Documents in proceedings assigned a grand jury number shall be maintained for at least ten years following the commencement of the proceeding as indicated by the GJ number.

H. Destruction of grand jury documents

From time to time the clerk may petition the Chief Judge for leave to destroy documents arising out of or connected with grand jury proceedings. The petition shall contain a list of the GJ numbers for documents arising out of specific proceedings and a reasonable description of any documents other than those arising out of specific proceedings for which permission to destroy is sought. The clerk shall provide the United States Attorney with a copy of the petition. If the United States Attorney wishes to defer the destruction of some or all of the documents referred to in the petition, a written response to the petition setting forth the reasons for the requested deferral must be filed with the Chief Judge within fourteen days of the date the copy of the clerk's petition was transmitted to the United States Attorney. The Chief Judge may grant the petition for destruction, or direct that consideration of the destruction of some or all of the items specified in the petition be deferred for an additional year at the end of which the clerk may again petition for authority to destroy the documents.

The petition for leave to destroy the documents, the response of the United States Attorney, and any order of the Chief Judge dealing with the petition and response are, except as otherwise ordered, restricted documents.

I. Disposition Of NonGrand Jury Restricted Documents

When a case is closed in which an order was entered pursuant to section C of this Rule, the clerk shall maintain the documents as restricted documents for a period of 63 days following the closing of the case, where no appeal is filed, or for 63 days following the filing of an order affirming the decision.

At the conclusion of the 63 day period the clerk shall place the restricted documents in the public file, except to the extent that any party has requested during that 63 day period that one or more of the restricted documents be turned over to that party. Such request shall be in the form of a motion. In response to any such request the court may authorize the clerk to turn over such document or documents, or may, for good cause shown, direct either that the clerk destroy one or more of the restricted documents, or that one or more of the restricted documents be kept as restricted documents for a period not to exceed 20 years and thereafter destroyed.

J. Sanctions

Employees of the court are expressly forbidden to perform any of the following acts:

(1) entering an area designated for the storage of restricted documents without the authorization required by section B of this Rule;

(2) assisting any person who is not authorized access pursuant to section B of this Rule to an area designated for the storage of restricted documents to gain or to attempt to gain access to such an area;

(3) accepting for filing any restricted document when not specifically authorized to do so pursuant to section D of this Rule;

(4) permitting any person who is not specifically authorized to have access to a restricted document to examine such a document, or to provide such a person with a copy of such a document; and

(5) leaving a restricted document unattended in an area other than one secured pursuant to section B or D of this Rule such that persons not authorized access to the document could readily gain access to it.

Employees of the court who knowingly perform any of these acts shall be subject to disciplinary action, including dismissal. Persons who are not employees of the court who seek to coerce or induce any employee of the Court to perform any of these acts shall be punished by contempt of court.

K. Documents Not Restricted, Sealed, etc., Are Public

All documents which are filed with the Court and are not restricted, sealed, restricted, or documents awaiting expunction shall be part of the public record of the proceedings.

L. Filing private civil cases under seal

For the purposes of this section the term "sealed file" shall mean the complaint and associated documents in a proceeding where a plaintiff at the time of filing the complaint with the assignment clerk asks that the proceeding be filed under seal. Any such request shall be in writing and contain the name, address, and signature of the party or counsel making the request. The request shall indicate (a) that the party believes that due to special circumstance which the party will promptly bring to the attention of the judge to whom the case is to be assigned, it is necessary to seal the case at filing and (b) that the party is aware that absent an order extending or setting aside the sealing, the file and its contents will become public on the third business day following the filing. On receipt of such request, the assignment clerk will assign the complaint in accordance with the rules.

Once the complaint has been filed and assigned to a judge, the assignment clerk shall take the following actions:

(1) All materials other than those specified in (2) below will be treated as restricted documents. They will be delivered promptly to one of the deputy clerks authorized under section D to accept restricted documents. That deputy will process the documents in the manner of a case filed under protective order.

(2) The assignment clerk will place the judge's copy of the complaint and any other documents in an envelope, seal it, and write on it "File Sealed Under General Rule 10L." The sealed envelope will be forward to chambers in the manner used to forwarded judges' copies of recently filed complaints.

Absent any order to the contrary, the contents of the sealed file shall be treated as sealed documents for two business days following the day on which the complaint was filed. Except as otherwise ordered, on the fourth business day the file will be removed from the secure file area and made available for processing in the same manner as any case not filed under seal.

The procedures set forth in this section shall also be followed in filing complaints in camera pursuant to 31 U.S.C. § 3730 with the following modifications:

(1) the person presenting the complaint for filing in camera shall state in the instructions to the assignment clerk that the complaint is being filed pursuant to 31 U.S.C. § 3730; and

(2) unless otherwise ordered by the court, the matter shall remain restricted for the period specified in 31 U.S.C. § 3730.