LOCAL RULES OF THE UNITED STATES DISTRICT COURT FOR

LOCAL RULES

OF THE UNITED STATES DISTRICT COURT

FOR THE

DISTRICT OF MASSACHUSETTS

Including Amendments Through

October 1, 2023

LOCAL RULES

OF THE UNITED STATES DISTRICT COURT

FOR THE DISTRICT OF MASSACHUSETTS

Effective October 1, 2023

Including Amendments Effective Through

October 1, 2023

TABLE OF RULES

PREFACE ............................................................................................................................................. 1

RULE 1.1 TITLE ................................................................................................................................. 2

RULE 1.2 APPLICATION ................................................................................................................... 3

RULE 1.3 SANCTIONS ...................................................................................................................... 4

RULE 3.1 CIVIL COVER SHEET ...................................................................................................... 5

RULE 4.1 SERVICE OF PROCESS--DISMISSAL FOR FAILURE TO MAKE .............................. 6

RULE 4.2 FEES ................................................................................................................................... 7

RULE 5.1 FORM AND FILING OF PLEADINGS ............................................................................ 8

RULE 5.2 SERVICE AND FILING OF PLEADINGS AND OTHER PAPERS ............................... 9

RULE 5.3 [DELETED] ...................................................................................................................... 10

RULE 5.4 FILING AND SERVICE BY ELECTRONIC MEANS ................................................... 11

RULE 7.1 MOTION PRACTICE ...................................................................................................... 13

RULE 7.2 IMPOUNDED AND CONFIDENTIAL MATERIALS ................................................... 15

RULE 7.3 [DELETED] ...................................................................................................................... 16

RULE 15.1 ADDITION OF NEW PARTIES .................................................................................... 17

RULE 16.1 EARLY ASSESSMENT OF CASES ............................................................................. 18

RULE 16.3 CASE MANAGEMENT CONFERENCES ................................................................... 24

RULE 16.4 ALTERNATIVE DISPUTE RESOLUTION.................................................................. 26

RULE 16.5 FINAL PRETRIAL CONFERENCE .............................................................................. 29

RULE 16.6 PATENT PROCEEDINGS ............................................................................................. 32

RULE 26.1 CONTROL OF DISCOVERY ........................................................................................ 40

RULE 26.2 SEQUENCES OF DISCOVERY .................................................................................... 42

RULE 26.3 PHASING OF DISCOVERY ......................................................................................... 43

RULE 26.4 SPECIAL PROCEDURES FOR HANDLING EXPERTS ............................................ 44

RULE 26.5 UNIFORM DEFINITIONS IN DISCOVERY REQUESTS .......................................... 45

RULE 26.6 COURT FILINGS AND COSTS .................................................................................... 47

RULE 30.1 PLACE FOR TAKING DEPOSITIONS ........................................................................ 48

RULE 30.2 OPENING OF DEPOSITIONS ...................................................................................... 49

RULE 33.1 INTERROGATORIES .................................................................................................... 50

RULE 34.1 DOCUMENT PRODUCTION ....................................................................................... 52

iii

RULE 35.1 DISCLOSURE OF MEDICAL INFORMATION IN PERSONAL INJURY CASES ... 53

RULE 36.1 ADMISSIONS ................................................................................................................ 54

RULE 37.1 DISCOVERY DISPUTES .............................................................................................. 55

RULE 40.1 ASSIGNMENT OF CASES ........................................................................................... 56

RULE 40.2 CONFLICT OF COURT APPEARANCES ................................................................... 64

RULE 40.3 CONTINUANCES .......................................................................................................... 66

RULE 40.4 EMERGENCIES AND SPECIAL PROCEEDINGS...................................................... 67

RULE 41.1 DISMISSAL FOR WANT OF PROSECUTION ........................................................... 68

RULE 43.1 TRIAL ............................................................................................................................. 68

RULE 48.1 [DELETED] .................................................................................................................... 70

RULE 54.3 [DELETED] .................................................................................................................... 71

RULE 56.1 MOTIONS FOR SUMMARY JUDGMENT .................................................................. 72

RULE 58.2 SATISFACTION OF JUDGMENTS ............................................................................. 73

RULE 62.2 STAY BY BOND OR OTHER SECURITY .................................................................. 74

RULE 67.1 SURETIES ...................................................................................................................... 75

RULE 67.2 DEPOSIT IN COURT ..................................................................................................... 77

RULE 67.3 DISBURSEMENT OF REGISTRY FUNDS ................................................................. 79

RULE 67.4 PAYMENTS AND DEPOSITS MADE WITH THE CLERK ....................................... 80

RULE 68.2 SETTLEMENT ............................................................................................................... 81

RULE 77.1 SITTINGS ....................................................................................................................... 82

RULE 77.2 OFFICE OF THE CLERK .............................................................................................. 83

RULE 79.1 EXHIBITS ...................................................................................................................... 84

RULE 81.1 REMOVAL ..................................................................................................................... 85

RULE 81.2 DEFINITION OF JUDICIAL OFFICER ........................................................................ 86

RULE 83.1.1 PROCEDURE FOR ADOPTING, RESCINDING AND AMENDING RULES ........ 87

RULE 83.1.2 GENERAL ORDER DOCKET ................................................................................... 88

RULE 83.2.1 RELEASE OF INFORMATION BY ATTORNEYS .................................................. 89

RULE 83.2.2 SPECIAL ORDERS FOR THE PROTECTION OF THE ACCUSED OR THE

LITIGANTS IN WIDELY PUBLICIZED OR SENSATIONAL CRIMINAL OR CIVIL CASES .. 92

RULE 83.3 PHOTOGRAPHING, RECORDING AND BROADCASTING .................................... 93

RULE 83.3.1 [DELETED] ................................................................................................................. 94

RULE 83.3.2 [DELETED] ................................................................................................................. 95

RULE 83.4 COURTROOM SEARCHES; COURTROOM SEATING ............................................ 96

RULE 83.5.1 ADMISSION TO THE DISTRICT BAR .................................................................... 97

RULE 83.5.2 APPEARANCES ......................................................................................................... 99

RULE 83.5.3 PRACTICE BY PERSONS NOT MEMBERS OF THE BAR .................................. 100

RULE 83.5.4 PRACTICE BY LAW STUDENTS .......................................................................... 103

RULE 83.5.5 PRACTICE BY PRO SE LITIGANTS ....................................................................... 106

RULE 83.5.6 ONGOING OBLIGATIONS ...................................................................................... 107

RULE 83.5.7 REGISTRATION FOR ELECTRONIC CASE MANAGEMENT/ELECTRONIC

CASE FILES (CM/ECF) ................................................................................................................... 108

RULE 83.6.1 RULES OF PROFESSIONAL CONDUCT ............................................................... 109

RULE 83.6.2 JURISDICTION FOR DISCIPLINARY MATTERS................................................. 110

RULE 83.6.3 FORMS OF MISCONDUCT ...................................................................................... 111

RULE 83.6.4 FORMS OF DISCIPLINE .......................................................................................... 112

RULE 83.6.5 DISCIPLINARY PROCEEDINGS............................................................................. 113

RULE 83.6.6 TEMPORARY SUSPENSION ................................................................................... 118

RULE 83.6.7 DISBARMENT BY CONSENT ................................................................................. 120

RULE 83.6.8 DISCIPLINE AFTER CRIMINAL CONVICTION ................................................... 121

RULE 83.6.9 RECIPROCAL DISCIPLINE ..................................................................................... 123

RULE 83.6.10 REINSTATEMENT .................................................................................................. 125

RULE 83.6.11 PUBLIC ACCESS AND CONFIDENTIALITY ...................................................... 127

RULE 106.1 GRAND JURIES ........................................................................................................ 128

RULE 106.2 RELEASE OF INFORMATION BY COURTHOUSE PERSONNEL IN CRIMINAL

CASES .............................................................................................................................................. 129

RULE 112.1 MOTION PRACTICE ................................................................................................ 130

RULE 112.2 EXCLUDABLE DELAY PURSUANT TO THE SPEEDY TRIAL ACT ................. 131

RULE 112.4 CORPORATE DISCLOSURE STATEMENT ........................................................... 132

RULE 116.1 DISCOVERY IN CRIMINAL CASES ...................................................................... 133

RULE 116.2 DISCLOSURE OF EXCULPATORY EVIDENCE ................................................... 137

RULE 116.3 DISCOVERY MOTION PRACTICE ......................................................................... 140

RULE 116.4 SPECIAL PROCEDURES FOR AUDIO AND VIDEO RECORDINGS ................. 142

RULE 116.5 STATUS CONFERENCES AND STATUS REPORTS PROCEDURE ................... 143

RULE 116.6 DECLINATION OF DISCLOSURE AND PROTECTIVE ORDERS ...................... 147

RULE 116.7 DUTY TO SUPPLEMENT ......................................................................................... 148

RULE 116.8 NOTIFICATION TO RELEVANT LAW ENFORCEMENT AGENCIES OF

DISCOVERY OBLIGATIONS ........................................................................................................ 149

RULE 116.9 PRESERVATION OF NOTES ................................................................................... 150

RULE 116.10 REQUIREMENTS OF TABLE OF CONTENTS FOR VOLUMINOUS

DISCOVERY .................................................................................................................................... 151

RULE 117.1 PRETRIAL CONFERENCES .................................................................................... 152

RULE 117.2 SUBPOENAS IN CRIMINAL CASES INVOLVING COURT-APPOINTED

COUNSEL ......................................................................................................................................... 155

RULE 118.1 EFFECTIVE DATE .................................................................................................... 156

RULE 200 RENUMBERED AND AMENDED--SEE RULE 203 ................................................. 157

RULE 201 REFERENCE TO BANKRUPTCY COURT ................................................................ 158

RULE 202 BANKRUPTCY COURT JURY TRIALS .................................................................... 159

RULE 203 BANKRUPTCY APPEALS .......................................................................................... 160

RULE 204 BANKRUPTCY COURT LOCAL RULES .................................................................. 164

RULE 205 DISCIPLINARY REFERRALS BY BANKRUPTCY JUDGES .................................. 165

RULE 206 CORE PROCEEDINGS REQUIRING FINAL ADJUDICATION BY THE DISTRICT

COURT ............................................................................................................................................. 166

APPENDIX A FEE SCHEDULE (LOCAL RULE 4.5 SUPPLEMENT) ........................................ 167

APPENDIX B CIVIL COVER SHEET (JS44) ................................................................................ 168

APPENDIX C LOCAL CIVIL CATEGORY SHEET .................................................................... 169

APPENDIX D NOTICE OF SCHEDULING CONFERENCE ....................................................... 170

PREFACE

At the request of the Committee on Rules and Practice of the Judicial Conference of the

United States, local rules dealing with civil practice have been renumbered to key them to the

Federal Rules of Civil Procedure. Accordingly, the numbering is not sequential. Criminal rules

will be numbered from 100 to 199, and District Court rules relating to bankruptcy from 200 to 299.

RULE 1.1 TITLE

These rules shall be known as Local Rules of the United States District Court for the District

of Massachusetts and cited as "L.R., D. Mass." or "L.R."

Effective September 1, 1990.

RULE 1.2 APPLICATION

(a) In General. These local rules shall apply to all proceedings in the United States

District Court for the District of Massachusetts.

(b) Cases Pending When Rules Adopted and Amended. These rules became

effective in this form on September 1, 1990, and have been amended from time to

time thereafter. They shall, except as applicable time periods may have run, govern

all actions and proceedings pending on or commenced after the date of adoption or

amendment. Where justice so requires, proceedings in designated cases or other

matters before the court on the effective date of the adoption or amendment of these

rules shall be governed by the practice of the court before the adoption of these

rules.

Effective September 1, 1990; amended effective October 1, 1992.

RULE 1.3 SANCTIONS

Failure to comply with any of the directions or obligations set forth in, or authorized by,

these rules may result in dismissal, default, or the imposition of other sanctions as deemed

appropriate by the judicial officer.

Adopted effective October 1, 1992.

RULE 3.1 CIVIL COVER SHEET

The party filing the initial pleading shall also file a civil cover sheet in the form prescribed

by the Judicial Conference of the United States (JS 44) and the local category sheet.

Effective September 1, 1990.

RULE 4.1 SERVICE OF PROCESS--DISMISSAL FOR FAILURE TO MAKE

SERVICE

(a) Time Limit. Any summons not returned with proof that it was served within 90 days of

the filing of the complaint is deemed to be unserved for the purpose of Fed. R. Civ. P. 4(m).

(b) Showing of Good Cause for Failure to Comply. Counsel and parties appearing pro se

who seek to show good cause for the failure to make service within the 90-day period

prescribed by Fed. R. Civ. P. 4(m) shall do so by filing a motion for enlargement of time

under Fed. R. Civ. P. 6(b), together with a supporting affidavit. If on the 14th day following

the expiration of the 90-day period good cause has not been shown as provided herein, the

clerk shall forthwith automatically enter an order of dismissal for failure to effect service

of process, without awaiting any further order of the court. The clerk shall furnish a copy

of this local rule to counsel or pro se plaintiffs, together with the summons. Such notice

shall constitute the notice required by Fed. R. Civ. P. 4(m). No further notice need be given

by the court.

Procedure authorize service of process to be made in accordance with state practice, it shall

be the duty of counsel for the party seeking such service to furnish to the clerk forms of all

necessary orders and sufficient copies of all papers to comply with the requirements of the

state practice, together with specific instructions for the making of such service, if such

service is to be made by the United States Marshal.

Effective September 1, 1990; amended effective January 2, 1995; December 1, 2009; May 6,

2016.

RULE 4.2 FEES

(a) Generally. Except as otherwise provided by law, the clerk and other officers and

employees of the court shall not be required to perform any service for a party other than

the United States for which a fee is lawfully prescribed, unless the amount of the fee, if it

is known, or an amount sufficient to cover the fee reasonably expected by the officer to

come due for performance of the service has been deposited with the court.

(b) Exceptions. This provision shall not apply to the United States or a party who is proceeding

in forma pauperis, or in any other situation where, in the judgment of the officer entitled to

a fee, it is unnecessary to ensure payment of the fee and would work hardship or an

injustice.

and petitions accompanied by a request to proceed in forma pauperis, and shall note the

date of filing. If the request is denied, the matter will be noted on the miscellaneous

business docket. If the request is allowed, or the denial is reversed, the clerk shall file the

complaint or petition on the civil docket. Requests to proceed in forma pauperis shall be

accompanied by an affidavit containing details of the individual's financial status. (The

recommended form is available without charge from the clerk's office.)

(d) Liability for Fees if Prevailing Party. In seamen's cases, or cases in which the plaintiff is

granted leave to proceed in forma pauperis, the plaintiff remains liable for filing and other

fees in the event he or she is the prevailing party at settlement or otherwise, and he or she

collects a money judgment or any costs taxed by the court or clerk. These fees are payable

forthwith upon collection of any sums from the defendant.

(e) Notices of Appeal. The clerk shall on request file notices of appeal whether or not

accompanied by the required filing fee.

Effective September 1, 1990. [See Appendix A. Local Rule 4.2 Supplement].

RULE 5.1 FORM AND FILING OF PLEADINGS

(a) Form and Signing of Papers.

(1) The provisions of Fed. R. Civ. P. 10 and 11 concerning the form and signing of

pleadings, motions, and other documents shall be applicable to all documents filed

in any proceeding in this court. The board of bar overseers registration number of

each attorney signing such documents, except the United States Attorney and his or

her staff, shall be inscribed below the signature.

(2) All documents filed in the court shall be adapted for flat filing, be filed in 8 ½" x

11" printable format. All documents, except discovery requests and responses, shall

be double-spaced except for the identification of counsel, title of the case, footnotes,

quotations and exhibits. Discovery requests and responses shall be single-spaced.

Except for complaints and notices of appeal, documents that do not conform to the

requirements of this subsection shall be returned by the clerk.

(b) Time and Place of Filing. Except as noted in Fed. R. Civ. P. 33-36, all documents required to be

served under Fed. R. Civ. P. 5(d) shall, unless otherwise submitted to the court, be electronically

filed with the office of the clerk within 7 days after service has been made.

request for special process or relief, or any other request such that, if granted, the court will proceed

other than in the ordinary course, the request shall, unless it is noted on the category sheet (see

L.R. 40.1(a)(1)), be noted on the first page to the right of or immediately beneath the caption.

(d) Additional Copies. Whenever, because of the nature of a proceeding, such as a proceeding before

a three-judge district court under 28 U.S.C. § 2284, additional courtesy copies necessary either for

the use of the court or to enable the clerk to carry out his or her duties, it is the responsibility of

the party filing or having filed the document to provide the necessary copies.

Effective September 1, 1990; amended effective December 1, 2009. Amended effective November

1, 2019

RULE 5.2 SERVICE AND FILING OF PLEADINGS AND OTHER PAPERS

(a) Manner of Service. Service of all pleadings subsequent to the original complaint and of

all other papers required to be served shall be made in the manner specified by Fed. R. Civ.

P. 5.

(b) Service on Nonresident Attorney or Party Acting Pro Se.

(1) Nonresident Attorney. On application of a party, the court may order an attorney

who represents any other party and who does not maintain an office within this

district where service can be made on the attorney by delivery as provided by Fed.

R. Civ. P. 5(b) to designate a member of the bar of this court who does maintain

such an office to receive service of all pleadings and other papers in his or her

behalf.

(2) Party Acting Pro Se. On application of a party, the court may order any other party

who is appearing without an attorney and who does not maintain an office or

residence within this district where service can be made on the party by delivery as

provided by Fed. R. Civ. P. 5(b) to designate an address within the district at which

service can be made on him or her by delivery.

Effective September 1, 1990. Amended effective November 1, 2019

RULE 5.3 [DELETED]

Effective May 6, 2003; deleted effective [ ].

RULE 5.4 FILING AND SERVICE BY ELECTRONIC MEANS

(a) Electronic Filing Generally. Unless exempt or otherwise ordered by the court, all

pleadings and other papers submitted to the court must be filed, signed, and verified by

electronic means as provided herein.

(b) ECF Administrative Procedures. Subject to the supervision of the court, the clerk will

maintain Electronic Case Filing (ECF) Administrative Procedures, including procedures

for the registration of attorneys and other authorized users and for distribution of passwords

to permit electronic filing. All electronic filings must be made in accordance with the ECF

Administrative Procedures. The ECF Administrative Procedures will be generally

available to the public and shall be posted on the court's web site.

other papers must be served on other parties by electronic means. Transmission of the

Notice of Electronic Filing (NEF) through the court's transmission facilities will constitute

service of the filed document upon a registered ECF user.

(d) Deadlines. Although the ECF system is generally available 24 hours a day for electronic

filing, that availability will not alter filing deadlines, whether set by rule, court order, or

stipulation. All electronic transmissions of documents must be completed prior to 6:00 p.m.

to be considered timely filed that day.

(e) Civil Case Opening Documents. All ECF filers registered in this district must file civil

case opening documents, such as a complaint (or petition or notice of removal), civil action

cover sheet, or category sheet, electronically. Cases which include sealed or ex parte

documents and supporting materials presented contemporaneously with civil case opening

documents may be filed and served initially in paper format and not electronically. Pro se

filers, others exempt from electronic filing, or otherwise ordered by the court, may file case

opening documents in paper format and not electronically. Whenever possible, at the time

a civil case is submitted in paper format, the filing party may also file a disk with the clerk

containing in PDF format the opening documents and any emergency motions and

supporting papers not filed electronically.

(f) State Court Record in Removal Proceedings. Within 28 days after filing a notice of

removal in a civil action, a party removing an action under 28 U.S.C. §§ 1441-52 must

electronically file certified or attested copies of all docket entries, records, and proceedings

in the state. If exempt from electronic filing or otherwise ordered by the court, the removing

party must file a disk with the clerk’s office containing the state court record in PDF format.

(g) Exemptions.

(1) Documents That Should Not Be Filed Electronically. The following types of

documents must not be filed electronically:

(A) sealed documents;

(B) ex parte motions;

process;

(D) such other types of documents as the clerk may direct in the ECF

Administrative Procedures.

(2) Documents That Need Not Be Filed Electronically. The following types of

documents need not be filed electronically, but may be scanned into the ECF system

by a filing party or the clerk:

(A)

handwritten pleadings;

(B)

documents filed by pro se litigants who are incarcerated or who are not

registered ECF users;

(D) affidavits for search or arrest warrants and related documents;

(E) documents received from another court under Fed. R. Crim. P. 20 or 40;

(F) appearance bonds;

(G)

any document in a criminal case containing the original signature of a

defendant, such as a waiver of indictment or a plea agreement;

(H)

such other types of documents as the clerk may direct in the ECF

Administrative Procedures.

Adopted October 3, 2005 to be effective January 1, 2006; amended effective January 1, 2009;

December 1, 2009. Amended effective November 1, 2019

RULE 7.1 MOTION PRACTICE

(a) Control of Motion Practice.

(1) Plan for the Disposition of Motions. At the earliest practicable time, the judicial

officer shall establish a framework for the disposition of motions, which, at the

discretion of the judicial officer, may include specific deadlines or general time

guidelines for filing motions. This framework may be amended from time to time

by the judicial officer as required by the progress of the case.

(2) Motion Practice. No motion shall be filed unless counsel certify that they have

conferred and have attempted in good faith to resolve or narrow the issue.

(3) Unresolved Motions. The court shall rule on motions as soon as practicable, having

in mind the reporting requirements set forth in the Civil Justice Reform Act.

(b) Submission of Motion and Opposition to Motion.

(1) Submission of Motion. A party filing a motion shall at the same time file a

memorandum of reasons, including citation of supporting authorities, why the

motion should be granted. Affidavits and other documents setting forth or

evidencing facts on which the motion is based shall be filed with the motion.

(2) Submission of Opposition to a Motion. A party opposing a motion shall file an

opposition within 14 days after the motion is served, unless (1) the motion is for

summary judgment, in which case the opposition shall be filed within 21 days after

the motion is served, or (2) another period is fixed by rule or statute, or by order of

the court. A party opposing a motion shall file in the same (rather than a separate)

document a memorandum of reasons, including citation of supporting authorities,

why the motion should not be granted. Affidavits and other documents setting forth

or evidencing facts on which the opposition is based shall be filed with the

opposition. The 14-day period is intended to include the period specified by the

civil rules for mailing time and provide for a uniform period regardless of the use

of the mails.

(3) Additional Papers. All other papers not filed as indicated in subsections (b)(1) and

(2), whether in the form of a reply brief or otherwise, may be submitted only with

leave of court.

(4) Length of Memoranda. Memoranda supporting or opposing allowance of motions

shall not, without leave of court, exceed 20 pages, double-spaced.

indicates in writing on the face of the motion that ex parte consideration is requested.

Motions filed “ex parte” and related papers need not be served until the motion has been

ruled upon or the court orders that service be made.

(d) Request for Hearing. Any party making or opposing a motion who believes that oral

argument may assist the court and wishes to be heard shall include a request for oral

argument in a separate paragraph of the motion or opposition. The request should be set

off with a centered caption, “REQUEST FOR ORAL ARGUMENT.”

(e) Hearing. If the court concludes that there should be a hearing on a motion, the motion will

be set down for hearing at such time as the court determines.

(f) Decision of Motion Without Hearing. Motions that are not set down for hearing as

provided in subsection (e) will be decided on the papers submitted after an opposition to

the motion has been filed, or, if no opposition is filed, after the time for filing an opposition

has elapsed.

Effective September 1, 1990; amended effective October 1, 1992; December 1, 2009

RULE 7.2 IMPOUNDED AND CONFIDENTIAL MATERIALS

(a) Generally. Whenever a party files a motion to impound, the motion shall contain a

statement of the earliest date on which the impounding order may be lifted, or a statement,

supported by good cause, that the material should be impounded until further order of the

court. The impounded material will be scanned and docketed in CMECF and restricted

from public access.

(b) Expiration of Period. If the impoundment order provides a cut-off date but no

arrangements for custody, the clerk (without further notice to the court or the parties) shall

remove the restriction in CMECF and make the material available to the public upon

expiration of the impoundment period.

submission of the actual material sought to be impounded, unless the court orders

otherwise.

(d) No Blanket Orders. The court will not enter blanket orders that counsel for a party may

at any time file material with the clerk, marked confidential, with instructions that the clerk

withhold the material from public inspection. A motion for impoundment must be

presented each time a document or group of documents is to be filed.

Effective September 1, 1990. Amended effective November 1, 2019

RULE 7.3 [DELETED]

Adopted December 4, 2000; effective January 1, 2001; deleted effective [ ].

RULE 15.1 ADDITION OF NEW PARTIES

(a) Amendments Adding Parties. Amendments adding parties shall be sought as soon as an

attorney reasonably can be expected to have become aware of the identity of the proposed

new party.

(b) Service on New Party. A party moving to amend a pleading to add a new party shall serve,

in the manner contemplated by Fed. R. Civ. P. 5(b), the motion to amend upon the proposed

new party at least 14 days in advance of filing the motion, together with a separate

document stating the date on which the motion will be filed. A motion to amend a pleading

to add a new party shall be accompanied by a certificate stating that it has been served in

advance on the new party as required by this rule.

Adopted effective October 1, 1992; amended effective January 2, 1995; December 1, 2009.

RULE 16.1 EARLY ASSESSMENT OF CASES

(a) Scheduling Conference in Civil Cases. In every civil action, except in categories of

actions exempted by L.R. 16.2 as inappropriate for scheduling procedures, the judicial

officer shall convene a scheduling conference as soon as practicable, but in any event

within 60 days after the appearance of a defendant and within 90 days after the complaint

has been served on a defendant. In cases removed to this court from a state court or

transferred from any other federal court, the judicial officer shall convene a scheduling

conference within 60 days after removal or transfer.

(b) Obligation of Counsel to Confer. Unless otherwise ordered by the judicial officer, counsel

for the parties must, pursuant to Fed. R. Civ. P. 26(f), confer at least 21 days before the

date for the scheduling conference for the purpose of:

(1) preparing an agenda of matters to be discussed at the scheduling conference,

(2) preparing a proposed pretrial schedule for the case that includes a plan for

discovery, and

(3) considering whether they will consent to trial by magistrate judge.

present written settlement proposals to all defendants no later than 14 days before the date

for the scheduling conference. Defense counsel shall have conferred with their clients on

the subject of settlement before the scheduling conference and be prepared to respond to

the proposals at the scheduling conference.

(d) Joint Statement. Unless otherwise ordered by the judicial officer, the parties are required

to file, no later than 7 days before the scheduling conference and after consideration of the

topics contemplated by Fed. R. Civ. P. 16(b), 16(c), and 26(f), a joint statement containing

a proposed pretrial schedule, which shall include:

(1) a joint discovery plan scheduling the time and length for all discovery events, that

shall

(a) conform to the obligation to limit discovery set forth in Fed. R. Civ. P. 26(b),

and

(b) take into account the desirability of conducting phased discovery in which

the first phase is limited to developing information needed for a realistic

assessment of the case and, if the case does not terminate, the second phase

is directed at information needed to prepare for trial; and

(2) a proposed schedule for the filing of motions; and

(3) certifications signed by counsel and by an authorized representative of each party

affirming that each party and that party’s counsel have conferred:

(A) with a view to establishing a budget for the costs of conducting the full course and

various alternative courses of the litigation; and

(B) to consider the resolution of the litigation through the use of alternative dispute

resolution programs such as those outlined in L.R. 16.4.

To the extent that all parties are able to reach agreement on a proposed pretrial schedule,

they shall so indicate. To the extent that the parties differ on what the pretrial schedule

should be, they shall set forth separately the items on which they differ and indicate the

nature of that difference. The purpose of the parties’ proposed pretrial schedule or

schedules shall be to advise the judicial officer of the parties’ best estimates of the amounts

of time they will need to accomplish specified pretrial steps. The parties’ proposed agenda

for the scheduling conference, and their proposed pretrial schedule or schedules, shall be

considered by the judicial officer as advisory only.

(e) Conduct of Scheduling Conference. At or following the scheduling conference, the

judicial officer shall make an early determination of whether the case is “complex” or

otherwise appropriate for careful and deliberate monitoring in an individualized and case-

specific manner. The judicial officer shall consider assigning any case so categorized to a

case management conference or series of conferences under L.R. 16.3. The factors to be

considered by the judicial officer in making this decision include:

(1) the complexity of the case (the number of parties, claims, and defenses raised, the

legal difficulty of the issues presented, and the factual difficulty of the subject

matter);

(2) the amount of time reasonably needed by the litigants and their attorneys to prepare

the case for trial;

(3) the judicial and other resources required and available for the preparation and

disposition of the case;

(4) whether the case belongs to those categories of cases that:

(A) involve little or no discovery,

(B) ordinarily require little or no additional judicial intervention, or

(5) the extent to which individualized and case-specific treatment will promote the goal

of reducing cost and delay in civil litigation; and

(6) whether the public interest requires that the case receive intense judicial attention.

In other respects, the scheduling conference shall be conducted according to the provisions

for a pretrial conference under Fed. R. Civ. P. 16 and for a case management conference

under L.R. 16.3.

(f) Scheduling Orders. Following the conference, the judicial officer shall enter a scheduling

order that will govern the pretrial phase of the case. Unless the judicial officer determines

otherwise, the scheduling order shall include specific deadlines or general time frameworks

for:

(1) amendments to the pleadings;

(2) service of, and compliance with, written discovery requests;

(3) the completion of depositions, including, if applicable, the terms for taking and

using videotape depositions;

(4) the identification of trial experts;

(5) the sequence of disclosure of information regarding experts contemplated by Fed.

R. Civ. P. 26(b);

(6) the filing of motions;

(7) a settlement conference, to be attended by trial counsel and, in the discretion of the

judicial officer, their clients;

(8) one or more case management conferences and/or the final pretrial conference;

(9) a final pretrial conference, which shall occur within 18 months after the filing of

the complaint;

(10) the joinder of any additional parties;

(11) any other procedural matter that the judicial officer determines is appropriate for

the fair and efficient management of the litigation.

(g) Modification of Scheduling Order. The scheduling order shall specify that its provisions,

including any deadlines, having been established with the participation of all parties, can

be modified only by order of the judicial officer, and only upon a showing of good cause

supported by affidavits, other evidentiary materials, or references to pertinent portions of

the record.

Adopted effective October 1, 1992; amended effective January 2, 1995; December 10, 1996;

December 4, 2000; January 2, 2001; December 1, 2009; June 7, 2016 .

RULE 16.2 EXEMPTIONS FROM FED. R. CIV. P. 16(b)

The following categories of actions (based upon the numbered “Nature of Suit” list on form

JS 44) are exempted in this district from the scheduling and planning provisions of Fed. R. Civ. P.

16(b), as inappropriate actions for such scheduling and planning:

CONTRACT

150 Recovery of Overpayment & Enforcement of Judgment

152 Recovery of Defaulted Student Loans

153 Recovery of Overpayment of Veterans Benefits

REAL PROPERTY

210 Condemnation

220 Foreclosure

230 Rent Lease & Ejectment

245 Tort Product Liability - Asbestos Cases Only

PRISONER PETITIONS

510 Vacate Sentence (2255)

530 Habeas Corpus

535 Death Penalty

540 Mandamus & Other

550 Civil Rights

555 Prison Condition Cases

560 Civil Detainee - Conditions of Confinement

FORFEITURE/PENALTY

625 Drug Related Seizure

BANKRUPTCY

422 Appeal (22 U.S.C. 158)

423 Withdrawal (28 U.S.C. 157)

SOCIAL SECURITY

861 HIA (1395ff)

862 Black Lung (923)

863 DIWC/DIWW (405(g))

864 SSID Title XVI

865 RSI (405(g))

TAX SUITS

871 IRS--Third Party (26 U.S.C. 7609)

OTHER STATUTES

400 State Reapportionment

450 Commerce

Effective September 1, 1990.; amended effective January 3, 2012

RULE 16.3 CASE MANAGEMENT CONFERENCES

(a) Conduct of Case Management Conferences. Case management conferences shall be

presided over by a judicial officer who, in furtherance of the scheduling order required by

L.R. 16.1(f), may:

(1) explore the possibility of settlement;

(2) identify or formulate (or order the attorneys to formulate) the principal issues in

contention;

(3) prepare (or order the attorneys to prepare) a specific discovery schedule and

discovery plan that, if the presiding judicial officer deems appropriate, might:

(A) identify and limit the volume of discovery available in order to avoid

unnecessary or unduly burdensome or expensive discovery;

(B) sequence discovery into two or more stages; and

(4) establish deadlines for filing motions and a time framework for their disposition;

(5) provide for the “phased resolution” or “bifurcation of issues for trial” consistent

with Fed. R. Civ. P. 42(b); and

(6) explore any other matter that the judicial officer determines is appropriate for the

fair and efficient management of the litigation.

(b) Obligation of Counsel to Confer. The judicial officer may require counsel for the parties

to confer before the case management conference for the purpose of preparing a joint

statement containing:

(1) an agenda of matters that one or more parties believe should be addressed at the

conference; and

(2) a report advising the judicial officer whether the case is progressing within the

allotted time limits and in accord with the specified pretrial steps.

This statement is to be filed with the court no later than 7 days before the case management

conference.

prevent the convening of additional case management conferences by the judicial officer

as may be thought appropriate in the circumstances of the particular case. In any event, a

conference should not terminate without the parties being instructed as to when and for

what purpose they are to return to the court.

Adopted effective October 1, 1992, amended effective December 1, 2009.

RULE 16.4 ALTERNATIVE DISPUTE RESOLUTION

(a) Generally. The judicial officer assigned to preside over the case shall encourage the

resolution of disputes by settlement or other alternative dispute resolution programs.

(b) Settlement. At every conference conducted under these rules, the judicial officer shall

inquire as to the utility of the parties conducting settlement negotiations, explore means of

facilitating those negotiations, and offer whatever assistance may be appropriate in the

circumstances. Assistance may include a reference of the case to another judicial officer

for settlement purposes. Whenever a settlement conference is held, a representative of each

party who has settlement authority must attend in person or be available by telephone, with

permission of the judicial officer presiding over the settlement conference.

(1) Discretion of Judicial Officer. The judicial officer, following an exploration of

the matter with all counsel, may refer appropriate cases to alternative dispute

resolution programs that have been designated for use in the court or that the

judicial officer may make available. The dispute resolution programs described in

subsections (2) through (4) are illustrative, not exclusive. Moreover, nothing herein

shall preclude the parties from engaging in private dispute resolution programs as

long as they comply with any schedule established by the court.

(2) Mediation.

(A) The judicial officer may refer the case to mediation upon the agreement of

all parties.

(B) The mediator selected will be assigned from the senior district judges and

magistrate judges who have volunteered to handle alternative dispute

resolution matters.

counsel for each party and shall take any other steps that may appear

appropriate in order to assist the parties to resolve the impasse or

controversy. A representative of each party with settlement authority must

attend each mediation session unless alternative arrangements are approved

by the mediator.

(D) If mediation does not result in a resolution of the dispute, the mediator shall

promptly report the termination of mediation to the judicial officer.

(E) If an agreement is reached between the parties on any issues, the mediator

shall make appropriate note of that agreement and refer the parties to the

judicial officer for entry of a court order.

(F) Any communication related to the subject matter of the dispute made during

the mediation by any participant, mediator, or any other person present at

the mediation shall be a confidential communication to the full extent

contemplated by Fed. R. Evid. 408. No admission, representation,

statement, or other confidential communication made in setting up or

conducting the proceedings not otherwise discoverable or obtainable shall

be admissible as evidence or subject to discovery.

(G) Mediators serve under the supervision of the liaison magistrate judge in

charge of the alternative dispute resolution program and the chief judge.

(3) Other Alternate Dispute Resolution Programs. Use of mediation is not exclusive.

At the request of parties, the judicial officer may consider other forms of alternative

dispute resolution including, but not limited to, mini-trial, summary jury trial and

arbitration.

(4) Limited Appointment of Counsel.

(A) Upon request of an unrepresented party, the judicial officer may appoint

counsel for the limited purpose of providing legal advice and representation

in preparation for and during the course of mediation or early neutral

evaluation ordered under this rule. Although the scope of this representation

is limited, counsel shall provide such services as counsel deems appropriate

to the mediation, including but not limited to review of the pleadings,

communication with opposing counsel, and interviews with the client and

such key witnesses as may be necessary in advance of the mediation or early

neutral evaluation.

(B) Counsel appointed under this subsection shall be a member in good standing

of the bar of this court, shall agree to serve without compensation from the

party and shall file a limited representation appearance on a form provided

by the clerk confirming counsel’s consent to serve pro bono and for the

limited purpose of assisting the otherwise unrepresented party in the

alternative dispute resolution process ordered for the case in which the

appearance is filed. The client shall be required to sign the entry of

appearance as an indication of the client’s consent to and understanding of

the nature of the limited scope of representation.

shall have no further obligation to advise or otherwise appear on behalf of

the party, when the alternative dispute resolution process is concluded and

any resulting settlement agreement is executed. Nothing in this rule

prohibits the party and counsel from continuing the legal representation on

terms they may negotiate, subject to approval of the court. Appointed

counsel may not condition the undertaking of the party’s representation on

the making of such agreement.

Adopted effective October 1, 1992, amended June 2, 2015.

RULE 16.5 FINAL PRETRIAL CONFERENCE

(a) Schedule of Conference. The judicial officer to whom the case is assigned for trial may set

a new date for the final pretrial conference if that judicial officer determines that resolution

of the case through settlement or some other form of alternative dispute resolution is

imminent.

(b) Representation by Counsel; Settlement. Unless excused by the judicial officer to whom

the case is assigned for trial, each party shall be represented at the final pretrial conference

by counsel who will conduct the trial. Counsel shall have full authority from their clients

with respect to settlement and shall be prepared to advise that judicial officer as to the

prospects of settlement.

disclosure regarding experts required by Fed. R. Civ. P. 26(a)(2) shall be made at least 90

days before the final pretrial conference. No later than 28 days before the date of the pretrial

conference the parties shall make the pretrial disclosures required by Fed. R. Civ. P.

26(a)(3). Any objections to the use of the evidence identified in the pretrial disclosure

required by Fed. R. Civ. P. 26(a)(3) shall be made before counsel confer regarding the

pretrial memorandum, shall be a subject of their conference and shall not be filed with the

court unless the objections cannot be resolved. Filing of such objections shall be made

pursuant to subsection (d)(12) of this rule.

(d) Obligation of Counsel to Confer and Prepare Pretrial Memorandum. Unless otherwise

ordered by the judicial officer to whom the case is assigned for trial, counsel for the parties

shall confer no later than 14 days before the date of the final pretrial conference for the

purpose of jointly preparing a pretrial memorandum for submission to the judicial officer.

Unless otherwise ordered by the judicial officer to whom the case is assigned for trial, the

parties are required to file, no later than 7 days prior to the pretrial conference, a joint

pretrial memorandum which shall set forth:

(1) a concise summary of the evidence that will be offered by:

(A) plaintiff;

(B) defendant; and

with respect to both liability and damages (including special damages, if any);

(2) the facts established by pleadings or by stipulations or admissions of counsel;

(3) contested issues of fact;

(4) any jurisdictional questions;

(5) any questions raised by pending motions;

(6) issues of law, including evidentiary questions, together with supporting authority;

(7) any requested amendments to the pleadings;

(8) any additional matters to aid in the disposition of the action;

(9) the probable length of the trial;

(10) the names, addresses and telephone numbers of witnesses to be called (expert and

others) and whether the testimony of any such witness is intended to be presented

by deposition;

(11) the proposed exhibits; and

(12) the parties’ respective positions on any remaining objections to the evidence

identified in the pretrial disclosure required by Fed. R. Civ. P. 26(a)(3).

(e) Conduct of Conference. The agenda of the final pretrial conference, when possible and

appropriate, shall include:

(1) a final and binding definition of the issues to be tried;

(2) the disclosure of expected and potential witnesses and the substance of their

testimony;

(3) the exchange of all proposed exhibits;

(4) a pretrial ruling on objections to evidence;

(5) the elimination of unnecessary or redundant proof, including the limitation of expert

witnesses;

(6) a consideration of the bifurcation of the issues to be tried;

(7) the establishment of time limits and any other restrictions on the trial;

(8) a consideration of methods for expediting jury selection;

(9) a consideration of means for enhancing jury comprehension and simplifying and

expediting the trial;

(10) a consideration of the feasibility of presenting direct testimony by written statement;

(11) the exploration of possible agreement among the parties on various issues and

encouragement of a stipulation from the parties, when that will serve the ends of

justice, including:

(A) that direct testimony of some or all witnesses will be taken in narrative or

affidavit form, with right of cross-examination reserved;

(B) that evidence in affidavit form will be read to the jury by the witnesses, or

by counsel or another reader with court approval; and

and

(12) a consideration of any other means to facilitate and expedite trial.

(f) Trial Brief. A trial brief, including requests for rulings or instructions, shall be filed by

each party 7 days before the commencement of trial. Each party may supplement these

requests at the trial if the evidence develops otherwise than as anticipated.

Adopted effective October 1, 1992; amended effective January 2, 1995; December 1, 2009.

RULE 16.6 PATENT PROCEEDINGS

(a) Applicability of Rule. Except as otherwise provided in any federal rule or

statute(including the Federal Rules of Civil Procedure and the Patent Act), the following

procedures and deadlines shall govern all actions, including declaratory judgment actions,

involving disputes over the infringement, validity, or enforceability of a United States

patent. In the event of a conflict between this rule and another local rule of this court, this

rule shall control.

The court may modify the obligations or deadlines set forth in this rule based on the

circumstances of the particular case, including the simplicity or complexity of the case as

shown by the patents, claims, products, or parties involved.

(b) Definitions. As used in this rule, the following terms shall have the following meanings.

(1) Patentee. The term “patentee” refers to the party that owns or otherwise has

rights to assert the patent(s)-in-suit, such as an exclusive licensee.

(2) Accused Infringer. The term “accused infringer” refers to the party accused of

infringement or, in the case of a declaratory judgment action, the party

challenging the validity, enforceability, or infringement of the patent(s)-in-suit.

(3) Real Party in Interest – Patentee. The term “real party in interest,” when used

with respect to the patentee, refers to any person or entity that, alone or in

combination, owns a controlling interest in, or otherwise controls, the patentee or

the patent(s)-in-suit, and to any person or entity that, alone or in combination,

owns a controlling interest in, or otherwise controls, an entity that owns or controls

the patentee or patent(s)-in-suit

(4) Real Party in Interest – Accused Infringer. The term “real party in interest,”

when used with respect to the accused infringer, refers to any person or entity that,

alone or in combination, owns a controlling interest in, or otherwise controls, the

accused infringer.

the court shall set a schedule in accordance with the following provisions.

(1) Trial. The court shall schedule a trial (whether bench or jury) to be held within

24 months after the conference.

(2) Claim-Construction Hearing. The court shall schedule a claim-construction

hearing to be held within 9 months after the conference.

(3) Status Conferences. The court may consider the need for periodic status

conferences, including a status conference to be held after the claim construction

hearing but before the end of discovery. If the court schedules a post-Markman-

hearing status conference, the parties shall meet and confer at least 14 days before

the status conference to discuss the following issues:

(A) the impact of the claim-construction ruling, if the ruling is then available;

(B) narrowing of the issues;

(D) whether all parties agree to seek mediation or other alternative dispute

resolution pursuant to L.R. 16.4.

The parties shall file, at least 7 days before such a status conference, a joint

statement addressing those issues.

(4) Fact Discovery. The court shall set the close of fact discovery for no later than

15 months after the initial scheduling conference, or 60 days after entry of the

court’s ruling on claim construction, whichever is later.

(5) Expert Discovery. The court shall set the close of expert discovery for no later

than 18 months after the initial scheduling conference, or 90 days after the close

of fact discovery, whichever is later.

(6) Protective Order. If the parties seek protections beyond those provided in the

default protective order set forth in subsection (d)(6), they should submit a

proposed protective order with the joint statement. If there is not complete

agreement as to its terms, then the plaintiff’s position and the defendant’s position

should be identified in the proposal. Nothing in this subsection shall limit the right

of any party to seek additional or different protections at a later time.

(d) Automatic Patent-Related Disclosures. In addition to the automatic required disclosures

required by L.R. 26.2(a), the parties shall make the following additional disclosures. Such

disclosures shall be made to all opposing parties, but should not be filed with the court.

(1) Patentee’s Preliminary Patent-Related Disclosures. Not later than 21 days

after the initial scheduling conference under L.R. 16.1 and 16.3, or at such other

time as the court may order, the patentee shall make the following disclosures:

(A) Infringement Claim Charts. Infringement claim charts identifying, with

as much specificity as reasonably possible from publicly available

information or other information then within the patentee’s possession,

custody, or control:

(i) each accused product and/or method;

(ii) the patent(s) and the claim(s) each product or method allegedly

infringes;

(iii) an element-by-element description of where and how each element

of each asserted claim is found in each accused product or method;

(iv) as to each element that the patentee contends is a means-plus

function term under 35 U.S.C. § 112, the identity of the structures

acts, or materials in the accused product(s) or method(s) that

perform the claimed function;

(v) whether each element of each asserted claim is asserted to be present

literally or under the doctrine of equivalents;

(vi) which subsections of 35 U.S.C. § 271 apply; and

(vi) if any alleged infringement is based on the acts of multiple parties, the

role of each such party in the infringement.

(B) Prosecution History. Copies of the prosecution histories for each asserted

patent, including any parent applications and provisional applications from

which the asserted patents descend and to which each asserted patent claims

priority. The patentee shall also produce any non-privileged documents in

its possession, custody, or control concerning the conception and reduction

to practice of the invention claimed in the asserted patents, including but

not limited to lab notebooks (electronic or otherwise).

licenses or assignments) sufficient to establish that the patentee owns the

asserted patent(s) or has the authority to assert the patent(s).

(D) Real Parties in Interest. Documents sufficient to establish the identity of

all real parties in interest as to the patentee and the asserted patent(s).

(2) Conference Concerning Preliminary Patent Disclosures. Not later than 21 days

after the patentee’s preliminary disclosures, the parties shall meet and confer about

the following issues:

(A) the sufficiency of the patentee’s disclosures under subsection (d)(1);

provided, however, that those disclosures, as well as the accused

infringer’s disclosures in subsection (d)(4), are preliminary and may be

amended with leave of court during the discovery period; and

(B) a plan for the accused infringer’s compliance with the disclosure

requirements of subsection (d)(4), including the feasibility of, and

procedures for, production or inspection of exemplary samples of the

accused products and methods, technical documents, and/or source code.

(3) Effect of Incomplete or Disputed Disclosures. The parties’ failure to agree on the

sufficiency of the patentee’s disclosures or a plan for the accused infringer’s

compliance with its disclosure obligations shall not entitle the accused infringer to

avoid or delay its disclosure obligations in subsection (d)(4).

(4) Accused Infringer’s Preliminary Production of Technical Documents, Source

Code, and Samples of Accused Products. Not later than 21 days after the

conference required under subsection (d)(2), and subject to any agreement of the

parties as to the contours of production or inspection, the accused infringer shall

make the following disclosures:

(A) Technical Documents. Documents sufficient to show the composition,

operation, construction, and performance of the accused components,

elements, or functionality identified in the patentee’s infringement claim

charts under subsection (d)(1)(A). Such documents may include, for

example, source code, specifications, schematics, flow charts, artwork, and

formulas.

(B) Samples. Sufficient samples of the accused products (or products that

perform or were produced by the accused methods). When production is

not practicable, the accused infringer shall permit inspection of the accused

product(s) or method(s), provided that the accused infringer is only required

to permit inspection of a method that continues to be practiced in the

ordinary course of business.

procedures on which the parties may agree.

(D) Noninfringement Claim Charts. Noninfringement charts identifying

specifically which elements of the asserted claims each accused product or

method fails to practice.

(E) Invalidity Claim Charts − Anticipation or Obviousness. Invalidity

claim charts identifying all prior art that such party contends anticipates or

renders obvious the patent claims identified by the patentee.

(i) For each such prior-art reference, the accused infringer shall specify

whether it anticipates or renders the asserted claim obvious and shall

also identify specifically where in each alleged reference each

element of each asserted claim can be found. For each element that

the accused infringer contends is a means-plus- function term under

35 U.S.C. § 112, the chart shall include the identity of the

structures, acts, or materials in each prior-art reference that

perform the claimed function.

(ii) If the accused infringer asserts that a combination of prior-art

references renders a claim obvious, then the accused infringer shall

identify each such combination and the reason to combine the

references. For each combination, the accused infringer shall

identify specifically where in the combination of references each

element of each asserted claim can be found. For each element

that the accused infringer contends is a means-plus-function term

under 35 U.S.C. § 112, the chart shall include the identity of the

structures, acts, or materials in each combination that performs the

claimed function. If applicable, the accused infringer shall also

identify the primary and secondary references in each such

combination.

(F) Other Grounds for Invalidity. Any asserted grounds of invalidity based

on patentability under 35 U.S.C. § 101, indefiniteness under 35 U.S.C §

112, or lack of enablement or written description under 35 U.S.C. § 112 of

any of the asserted claims.

(G) Supporting Evidence for Invalidity Defense. Documents sufficient to

support any asserted invalidity defense.

(H) Identity of Real Parties in Interest. Documents sufficient to establish the

identity of all real parties in interest as to the accused infringer.

(5) Amendments to Preliminary Patent-Related Disclosures. The preliminary

patent-related disclosures of subsections (d)(1) and (d)(4) may be amended and

supplemented only by leave of court upon a timely showing of good cause.

Nonexhaustive examples of circumstances that may, absent undue prejudice to the

nonmoving party, support a finding of good cause include:

(A) a claim construction by the court that is different from that proposed by

the party seeking amendment within 28 days of the court’s claim

construction ruling,

(B) discovery of material prior art that was not located, despite diligent efforts,

before the service of the invalidity contentions; and

was not discovered or located, despite diligent efforts, before the service

of the infringement claim charts.

The duty to supplement discovery responses does not excuse the need to obtain

leave of court to amend disclosures. If one party is allowed to amend its

disclosures, the opposing party may, within 28 days after service of the amended

disclosure, serve responsive amended disclosures.

(6) Default Protective Order. As set forth in subsection (c)(6), any party may seek a

case-specific protective order. Until such a case-specific protective order is entered,

the following default protective order shall govern the handling of confidential

information:

Documents and information that either party in good faith believes

are confidential may be produced in discovery with the designation

“Confidential Pursuant to the Court’s Default PO.” Until such time

as the designation is altered or removed by the parties’ agreement or

by court order, a so-designated document may only be accessed by

the parties’ outside counsel, the court, and their personnel.

(7) Challenges to Confidentiality Designations. Any party may move to challenge

or amend the confidentiality designations of any documents or information

produced under subsections (d)(1)-(5).

(8) Relation to Other Discovery. In addition to the automatic disclosures, any party

may conduct other forms of discovery, including interrogatories, requests for

production of documents, requests for admissions, and depositions, in accordance

with any scheduling order set by the court.

(9) Resolution of Disputes. Any party seeking to file a motion to resolve a dispute

arising out of these disclosure obligations must follow the procedures applicable to

discovery disputes set forth in L.R. 37.1.

(e) Claim-Construction Proceedings.

(1) Joint Statement.

(A) Not later than 21 days after completion of the automatic patent-related

disclosures of subsections (d)(1)-(4), the parties shall simultaneously

exchange a list of claim terms to be construed and their proposed

constructions.

(B) Within 7 days of the exchange of claim terms, the parties shall confer to see

if agreement can be reached on the construction of claim terms and the

number of claims to be considered.

for construction; provided, however, that, for good cause, either party, after

conferring with the other parties, may petition the court to increase the

number of claim terms for construction. Factors supporting good cause

include, without limitation, the complexity of the patented technology, the

number of asserted claims and patents, the lack of relation

among the asserted patents, the number and complexity of invalidity

defenses, and the number and diversity of accused products or methods.

(D) Within 14 days after the exchange of claim terms, the parties shall prepare

and file a joint statement of the number of claims and terms to be construed.

The joint statement shall include a joint claim-construction chart listing the

claim terms in the order in which the parties would like the court to construe

them and noting each party’s proposed construction of each term. The

parties may use the form shown below.

TERM

PATENT

OWNER’S

CONSTRUCTION

ACCUSED

INFRINGER’S

CONSTRUCTION

COURT’S

CONSTRUCTION

(2) Opening Claim-Construction Briefs. Not later than 21 days after filing the joint

statement, the parties shall simultaneously exchange and file opening claim

construction briefs.

(3) Expert Testimony. Any party seeking to rely on expert testimony to support claim

construction must include with its opening brief an expert declaration. The offering

party must make the expert available for deposition not later than 21 days before

the responsive due date. Either party may cite to the expert deposition testimony

in its responsive brief. Other than the initial declaration and deposition testimony,

no further expert testimony shall be permitted unless the court requests further

testimony or for good cause shown.

(4) Responsive Briefs. Not later than 42 days following exchange and filing of the

opening claim-construction briefs, the parties shall simultaneously exchange and

file responsive briefs. This 42-day response period is intended to allow for

depositions of opposing experts.

(5) Page Limits. Absent leave of court, the page limits of L.R. 7.1(b)(4) shall apply

to all briefs.

(6) Tutorials. At the court’s request, the parties may exchange and file tutorials,

preferably in the form of a short video or slide presentation, at least 14 days

before the claim-construction hearing. The court may also, at its own election,

seek an independent third party to educate the court on the disputed technology.

(7) Hearing. Unless the court orders otherwise, the claim-construction hearing shall

proceed by attorney argument only. Any party seeking to present live witness

testimony (expert or otherwise) at the hearing must obtain the court’s approval,

which it may grant in its discretion. The court may also order an evidentiary

hearing sua sponte.

(f) Reliance on Advice of Counsel. The following requirements apply to any party relying

on advice of counsel as part of a patent-related claim or defense.

(1) Disclosure of Written Opinion. Not later than 28 days after entry of the court’s

claim-construction ruling, each party relying upon advice of counsel must produce

the opinion(s) and any other documentation relating to the opinion as to which that

party agrees the attorney-client or work-product protection has been waived.

(2) Disclosure of Oral Advice. If a party is relying on oral advice, such party must,

within 28 days of the court’s claim-construction ruling, provide a written

summary of any oral advice and produce or make available for inspection and

copying any documents related to, or supporting, the summary for which the

attorney-client and work-product protection has been waived and make available

for deposition the people involved.

(3) Privilege Log. Each party relying upon advice of counsel must, at the time of any

disclosure under subsection (1) or (2), also serve a privilege log identifying any

other documents, except those authored by counsel acting solely as trial counsel,

relating to the subject matter of the opinion(s) that the party is withholding on the

grounds of attorney-client privilege or work-product protection.

(4) Failure to Comply. A party that does not comply with these requirements will

not be permitted to rely on the advice of counsel for any purpose, absent a

stipulation of all parties or an order of the court, which will be granted only for

good cause shown.

Adopted effective June 1, 2018.

RULE 26.1 CONTROL OF DISCOVERY

(a) Cooperative Discovery. The judicial officer should encourage cost effective discovery

by means of voluntary exchange of information among litigants and their attorneys. This

may be accomplished through the use of:

(1) informal, cooperative discovery practices in which counsel provide information to

opposing counsel without resort to formal discovery procedures; or

(2) stipulations entered into by the parties with respect to deposition notices, waiver of

signing, and other matters, except that the parties may not enter into stipulations

extending the time for responding to discovery requests or otherwise modify

discovery procedures ordered by the judicial officer.

(b) Disclosure Orders. The judicial officer may order the parties to submit at the scheduling

conference, or at any subsequent time the officer deems appropriate, sworn statements

disclosing certain information to every other party. At the discretion of the judicial officer,

this order may direct the submission of:

(1) a sworn statement from a claimant, whether plaintiff, third-party plaintiff,

crossclaimant, or counter-claimant, that:

(A) itemizes all economic loss and provides a computation of damages for

which recovery is sought, if any, sustained before the date of service of

process;

(B) identifies all persons then known to the claimant or the claimant’s attorney

who witnessed or participated in the transaction or occurrence giving rise to

the claim or otherwise known or believed to have substantial discoverable

information about the claim or defenses, together with a statement of the

subject and a brief summary of that information;

opposing parties, from whom statements have been obtained by or on behalf

of the claimant regarding the subject matter of the claim; and

(D) identifies all governmental agencies or officials then known to the claimant

or the claimant’s attorney to have investigated the transaction or occurrence

giving rise to the claim; and

(2) a sworn statement from a defendant, whether the direct defendant, third-party

defendant, crossclaim defendant, or counterclaim defendant, that identifies:

(A) all persons then known to the defendant or the defendant’s attorneys who

witnessed the transaction or occurrence giving rise to the claim or otherwise

is known or believed to have substantial discoverable information about the

claims or defenses, together with a statement of the subject and a brief

summary of that information;

(B)

all opposing parties, and all officers, directors, and employees of opposing

parties, from whom statements have been obtained by or on behalf of the

defendant regarding the subject matter of the claims or defenses; and

(C)

all government agencies or officials then known to the defendant or the

defendant’s attorneys to have investigated the transaction or occurrence

giving rise to the claims or defenses.

Noncompliance may be excused only by order of the judicial officer.

discovery events shall be limited for each side (or group of parties with a common interest)

to 10 depositions, 25 interrogatories, 25 requests for admissions, and 2 separate sets of

requests for production. For purposes of determining the number of interrogatories

propounded, subparts of a basic interrogatory which are logical extensions of the basic

interrogatory and seek only to obtain specified additional particularized information with

respect to the basic interrogatory shall not be counted separately from the basic

interrogatory.

Adopted effective October 1, 1992; amended effective January 2, 1995.

RULE 26.2 SEQUENCES OF DISCOVERY

(a) Automatic Required Disclosure. Unless otherwise ordered by the judicial officer, the

disclosure required by Fed. R. Civ. P. 26(a)(1) should be made as soon as practicable and

in any event must be made at or within 14 days after the meeting required by Fed. R. Civ.

P. 26(f) and L.R. 16.1(b). Except as provided in Fed. R. Civ. P. 26(d)(2), and unless

otherwise ordered by the judicial officer, a party must provide to other parties disclosure

of the information and materials called for by Fed. R. Civ. P. 26(a)(1) before that party may

initiate discovery.

(b) Further Discovery. Should a party exhaust the opportunities for any type of discovery

events under L.R. 26.1(c), any requests that such party may make for additional

interrogatories, depositions, admissions or the production of documents beyond that

allowed pursuant to L.R. 26.1(c) shall be by discovery motion. All requests for additional

discovery events, extensions of deadlines, for the completion of discovery or for

postponement of the trial must be signed by the attorney and the party making the request.

motion that is not accompanied by a certification, as required by L.R. 7.1(a)(2) and L.R.

37.1(b), that the moving party has made a reasonable and good faith effort to reach

agreement with opposing counsel on the matters set forth in the motion. In evaluating any

discovery motion, the judicial officer may consider the desirability of conducting phased

discovery, as contemplated by L.R. 26.3.

(d) Removed and Transferred Actions. In all actions removed to this court or transferred to

this court from another federal court, the submission required by subsection (a) shall be

made as prescribed in that subsection, and if discovery was initiated before the action being

removed or transferred to this court, then the submission required by subsection (a) shall

be made within 21 days of the date of removal or transfer.

Adopted effective October 1, 1992; amended effective January 2, 1995; December 10, 1996;

December 4, 2000; December 1, 2009.

RULE 26.3 PHASING OF DISCOVERY

In order to facilitate settlement and the efficient completion of discovery, the judicial

officer has discretion to structure discovery activities by phasing and sequencing the topics which

are the subject of discovery. For example, an order may be framed limiting the first phase to

developing information needed for a realistic assessment of the case. If the case does not terminate,

the second phase would be directed at information needed to prepare for trial.

Adopted effective October 1, 1992; amended effective January 2, 1995.

RULE 26.4 SPECIAL PROCEDURES FOR HANDLING EXPERTS

(a) Objections to Expert Witnesses. Unless otherwise directed by the judicial officer, the

disclosure regarding experts required by Fed. R. Civ. P. 26(a)(2) shall be made at least 90

days before the final pretrial conference. A party who intends to object to the qualifications

of an expert witness, or to the introduction of any proposed exhibit related to that expert’s

testimony, shall give written notice of the grounds of objection, together with supporting

authority, to all other parties no later than the time for such objections provided in L.R.

16.5(c).

(b) Setting Terms and Conditions. At the final pretrial conference, the judicial officer shall

consider:

(1) precluding the appearance of expert witnesses not timely identified;

(2) precluding use of any trial testimony by an expert at variance with any written statement

or any deposition testimony;

(3) making a ruling concerning the use of expert depositions, including video depositions

at trial; and

(4) making any other ruling on the admissibility of expert testimony at the trial.

Adopted effective October 1, 1992; amended effective January 2, 1995.

RULE 26.5 UNIFORM DEFINITIONS IN DISCOVERY REQUESTS

(a) Incorporation by Reference and Limitations. The full text of the definitions set forth in

subsection (c) is deemed incorporated by reference into all discovery requests, but shall not

preclude

(1) the definition of other terms specific to the particular litigation;

(2) the use of abbreviations; or

(3) a narrower definition of a term defined in subsection (c).

(b) Effect on Scope of Discovery. This rule is not intended to broaden or narrow the scope of

discovery permitted by the Federal Rules of Civil Procedure.

(1) Communication. The term “communication” means the transmittal of information

(in the form of facts, ideas, inquiries, or otherwise).

(2) Document. The term “document” is defined to be synonymous in meaning and

equal in scope to the usage of this term in Fed. R. Civ. P. 34(a). A draft or

nonidentical copy is a separate document within the meaning of this term.

(3) Identify (With Respect to Persons). When referring to a person, “to identify” means

to give, to the extent known, the person’s full name, present or last known address,

and, when referring to a natural person, the present or last known place of

employment. Once a person has been identified in accordance with this subsection,

only the name of that person need be listed in response to subsequent discovery

requesting the identification of that person.

(4) Identify (With Respect to Documents). When referring to documents, “to identify”

means to give, to the extent known, the

(A) type of document;

(B) general subject matter;

(D) author(s), addressee(s), and recipient(s).

(5) Parties. The terms “plaintiff” and “defendant” as well as a party’s full or

abbreviated name or a pronoun referring to a party mean the party and, where

applicable, its officers, directors, employees, partners, corporate parent,

subsidiaries, or affiliates. This definition is not intended to impose a discovery

obligation on any person who is not a party to the litigation.

(6) Person. The term “person” is defined as any natural person or any business, legal,

or governmental entity or association.

(7) Concerning. The term “concerning” means referring to, describing, evidencing, or

constituting.

(8) State the Basis. When an interrogatory calls upon a party to “state the basis” of or

for a particular claim, assertion, allegation, or contention, the party shall

(A) identify each and every document (and, where pertinent, the section,

article, or subsection thereof), which forms any part of the source of the

party’s information regarding the alleged facts or legal conclusions

referred to by the interrogatory;

(B) identify each and every communication which forms any part of the

source of the party’s information regarding the alleged facts or legal

conclusions referred to by the interrogatory;

(identifying the acts or omissions to act by stating their nature, time, and

place and identifying the persons involved) which form any part of the

party’s information regarding the alleged facts or legal conclusions referred

to in the interrogatory; and

(D) state separately any other fact which forms the basis of the party’s

information regarding the alleged facts or conclusions referred to in the

interrogatory.

Adopted effective October 1, 1992.

RULE 26.6 COURT FILINGS AND COSTS

(a) Nonfiling of Discovery Materials. Discovery materials (that is, automatic or voluntary

disclosure materials, depositions, deposition notices, interrogatories, requests for

documents, requests for admissions, answers and responses to discovery requests, and any

other requests for or products of the discovery process) shall not be filed unless so ordered

by the court or for use in the proceeding. The party taking a deposition or obtaining any

material through discovery is responsible for its preservation and delivery to the court if

needed or so ordered. If for any reason a party or concerned citizen believes that any of

the named documents should be filed, an ex parte request may be made that such document

be filed, stating the reasons for the request. The court may also order filing sua sponte. If

relief is sought under Fed. R. Civ. P. 26(c) or 37, copies of the relevant portions of disputed

documents shall be filed with the court contemporaneously with any motion. If the moving

party under Fed. R. Civ. P. 56 or the opponent relies on discovery documents, copies of

the pertinent parts thereof shall be filed with the motion or opposition.

(b) Copying Expense for Discovery Materials.

(1) Inspection of Documents. Except as otherwise provided in an order entered

pursuant to Fed. R. Civ. P. 26(c), all parties to an action shall be entitled to inspect

documents produced by another party pursuant to Fed. R. Civ. P. 33(d) or 34 at the

location where they are produced.

(2) Copies of Documents. Except as otherwise provided in an order entered pursuant

to Fed. R. Civ. P. 26(c), upon request of any party, and upon that party’s agreement

to pay the copying costs at the time of delivery, a party who produces documents

pursuant to Fed. R. Civ. P. 33(d) or 34 shall provide copies of all or any specified

part of the documents. No party shall be entitled to obtain copies of documents

produced by another party pursuant to Fed. R. Civ. P. 33(d) or 34 without paying

the costs thereof.

Adopted effective October 1, 1992; amended effective January 2, 1995.

RULE 30.1 PLACE FOR TAKING DEPOSITIONS

Unless the court orders otherwise,

(a) Boston is deemed a convenient place for taking of a deposition of any person who resides,

is employed, or transacts business in person in Suffolk, Bristol, Essex, Middlesex, Norfolk

or Plymouth Counties;

(b) Springfield is deemed a convenient place for taking the deposition of any person who

resides, is employed, or transacts business in person in Berkshire, Franklin, Hampden or

Hampshire Counties; and

resides, is employed, or transacts business in person in Worcester County.

Effective September 1, 1990; amended effective March 6, 2007.

RULE 30.2 OPENING OF DEPOSITIONS

(a) Generally. If filed, unless the court directs otherwise, depositions taken pursuant to Fed.

R. Civ. P. 26 in a pending action shall be opened by the clerk and made available for

inspection and copying on request of any party or counsel for any party to the proceeding.

(b) Depositions to Perpetuate Testimony. Depositions before action or pending appeal taken

pursuant to Fed. R. Civ. P. 27 shall be opened by the clerk and made available for inspection

and copying on request of any person served with notice pursuant to subsection (a)(2) of

that rule, or by counsel for such person.

Effective September 1, 1990.

RULE 33.1 INTERROGATORIES

(a) Form of Response.

(1) Answers and objections in response to interrogatories, served pursuant to Fed. R.

Civ. P. 33 shall be made in the order of the interrogatories propounded.

(2) Each answer, statement, or objection shall be preceded by the interrogatory to

which it responds.

(3) Each objection and the grounds therefor shall be stated separately.

(b) Reference to Records. Whenever a party answers any interrogatory by reference to

records from which the answer may be derived or ascertained, as permitted in Fed. R. Civ.

P. 33(c):

(1) the specification of documents to be produced shall be in sufficient detail to permit

the interrogating party to locate and identify the records and to ascertain the answer

as readily as could the party from whom discovery is sought;

(2) the producing party shall make available any computerized information or

summaries thereof that it either has, or can adduce by a relatively simple procedure,

unless these materials are privileged or otherwise immune from discovery;

(3) the producing party shall provide any relevant compilations, abstracts, or

summaries in its custody or readily obtainable by it, unless these materials are

privileged or otherwise immune from discovery; and

(4) the documents shall be made available for inspection and copying within 14 days

after service of the answers to interrogatories or at a date agreed upon by the parties.

(1) When an objection is made to any interrogatory, or subpart thereof, it shall state

with specificity all grounds upon which the objecting party relies. Any ground not

stated in an objection within the time provided by the Federal Rules of Civil

Procedure, or any extensions thereof, shall be deemed waived.

(2) No part of an interrogatory shall be left unanswered merely because an objection is

interposed to another part of the interrogatory.

(d) Answers to Interrogatories Following Objections. Answers to interrogatories with

respect to which objections were served and which are subsequently required to be

answered shall be served within 14 days after it is determined that they should be answered,

unless the court directs otherwise.

(e) Claims of Privilege. When a claim of privilege is asserted in objection to any interrogatory,

or any subpart thereof, and an answer is not provided on the basis of that assertion, the

attorney asserting the privilege shall identify in the objection the nature of the privilege

that is being claimed. If the privilege is being asserted in connection with a claim or defense

governed by state law, the attorney asserting the privilege shall indicate the particular

privilege rule that is being invoked.

Adopted effective October 1, 1992; amended effective January 2, 1995.

RULE 34.1 DOCUMENT PRODUCTION

(a) Form of Response.

(1) Answers and objections in response to requests for document production, served

pursuant to Fed. R. Civ. P. 34 shall be made in the order of the requests propounded.

(2) Each answer, statement, or objection shall be preceded by the request to which it

responds.

(3) Each objection and the grounds therefor shall be stated separately.

(b) [Reserved].

(1) When an objection is made to any document request, or subpart thereof, it shall

state with specificity all grounds upon which the objecting party relies. Any ground

not stated in an objection within the time provided by the Federal Rules of Civil

Procedure, or any extensions thereof, shall be deemed waived.

(2) No part of a document request shall be left unanswered merely because an objection

is interposed to another part of the document request.

(d) Answers to Document Request Following Objections. Answers to a document request

with respect to which objections were served and which are subsequently required to be

answered shall be served within 14 days after it is determined that they should be

answered, unless the court directs otherwise.

(e) Claims of Privilege. When a claim of privilege is asserted in objection to any document

request, or any subpart thereof, and any document is not provided on the basis of that

assertion, the attorney asserting the privilege shall identify in the objection the nature of

the privilege that is being claimed with respect to each such document. If the privilege is

being asserted in connection with a claim or defense governed by state law, the attorney

asserting the privilege shall indicate the particular privilege rule that is being invoked.

Adopted effective October 1, 1992; amended effective January 2, 1995.

RULE 35.1 DISCLOSURE OF MEDICAL INFORMATION IN PERSONAL INJURY

CASES

(a) Disclosure by Claimants. Within 14 days after an issue is joined by a responsive pleading,

a claimant (whether a plaintiff, third-party plaintiff, cross-claimant, or counter-claimant)

who asserts a claim for personal injuries shall serve a defendant (whether a direct

defendant, third-party defendant, cross-claim defendant, or counterclaim defendant) with

(1) an itemization of all medical expenses incurred before the date of service of the

pleading containing the claim for which recovery is sought. If the claimant

anticipates that recovery will be sought for future medical expenses, the itemization

shall so state, but need not set forth an amount for the anticipated future medical

expenses;

(2) a statement that either:

(A) identifies a reasonably convenient location and date, within no more than

14 days, at which the defendant may inspect and copy, at the defendant’s

expense, all non-privileged medical records pertaining to the diagnosis,

care, or treatment of injuries for which recovery is sought; or

(B) identifies all health-care providers from which the claimant has received

diagnosis, care, or treatment of injuries for which recovery is sought

together with executed releases directed at each provider authorizing

disclosure to the defendant or its counsel of all non-privileged medical

records in the provider’s possession.

(b) Assertion of Privilege. Insofar as medical records are not produced in accordance with

subsection (a)(2) on the ground of privilege, the claimant shall identify the privileged

documents and state the privilege pursuant to which they are withheld.

or transferred to this court from another federal court, claimants seeking recovery for

personal injuries shall provide the information and materials described in subsection (a)

within 21 days after the date of removal or transfer.

Adopted effective October 1, 1992; amended effective December 1, 2009.

RULE 36.1 ADMISSIONS

(a) Requests for Admission--Form of Response.

(1) Statements and objections in response to requests for admission served pursuant to

Fed. R. Civ. P. 36 shall be made in the order of the requests for admission

propounded.

(2) Each answer, statement, or objection shall be preceded by the request for admission

to which it responds.

(3) Each objection and the grounds therefor shall be stated separately.

(b) Statements in Response to Requests for Admission Following Objections. When there

is objection to a request for admission and it is subsequently determined that the request is

proper, the matter, the admission of which is requested, shall be deemed admitted unless

within 14 days after such determination such party to whom the request was directed serves

a statement denying the matter or setting forth the reasons why that party cannot admit or

deny the matter, as provided in Fed. R. Civ. P. 36.

Adopted effective October 1, 1992; amended effective January 2, 1995; December 1, 2009.

RULE 37.1 DISCOVERY DISPUTES

(a) Obligation to Confer. Before filing any discovery motion, including any motion for

sanctions or for a protective order, counsel for each of the parties shall confer in good faith

to narrow the areas of disagreement to the greatest possible extent. It shall be the

responsibility of counsel for the moving party to arrange for the conference. Conferences

may be conducted over the telephone. Failure of opposing counsel to respond to a request

for a discovery conference within 7 days of the request shall be grounds for sanctions,

which may include automatic allowance of the motion.

(b) Motions. If (1) opposing counsel has failed to respond to a request for a discovery

conference within the 7 day period set forth in subsection (a), (2) opposing counsel has

failed to attend a discovery conference within 14 calendar days of the request, or (3)

disputed issues are not resolved at the discovery conference, a dissatisfied party may file a

motion and supporting memorandum. The motion shall include a certificate in the margin

of the last page that the provisions of this rule have been complied with. The memorandum

shall state with particularity the following:

(1) If a discovery conference was not held, the reasons why it was not;

(2) If a discovery conference was held, the time, date, location and duration of the

conference; who was present for each party; the matters on which the parties

reached agreement; and the issues remaining to be decided by the court;

(3) The nature of the case and the facts relevant to the discovery matters to be decided;

(4) Each interrogatory, deposition question, request for production, request for

admission or other discovery matter raising an issue to be decided by the court, and

the response thereto; and

(5) A statement of the moving party’s position as to each contested issue, with

supporting legal authority, which statement shall be set forth separately

immediately following each contested item.

thereof. The response, if any, shall conform to the requirements of subsection (b)(5) of this

rule.

Adopted effective October 1, 1992.

RULE 40.1 ASSIGNMENT OF CASES

(a) Civil Cases.

(1) Categories of Cases. All civil cases shall be divided into the following three

categories for purposes of assignment, based upon the numbered “Nature of the

Suit” listed in the civil cover sheet used by the clerk in initiating the civil docket:

I 410, 441, 470, 535, 830, 891, 893, 895, R.23, regardless of nature of suit.

II 110, 130, 140, 160, 190, 196, 230, 240, 290, 320, 362, 370, 371, 380, 430,

440, 442, 443, 445, 446, 448, 710, 720, 740, 790, 820, 840, 850

III 120, 150, 151, 152, 153, 195, 210, 220, 245, 310, 315, 330, 340, 345, 350,

355, 360, 365, 367, 368, 375, 385, 400, 422, 423, 450, 460, 462, 463, 465,

480, 490, 510, 530, 540, 550, 555, 560, 625, 690, 751, 791, 810, 861-865,

890, 896, 899, 950

A copy of the local civil category sheet form referred to is attached as an appendix

to this rule.

(2) Designation of Nature of Suit. The party filing the initial pleading shall complete

a civil cover sheet, Form JS 44, or any successor forms, and file it with the initial

pleading. If the clerk should determine that the designation of Nature of Suit is in

error, the clerk shall correctly classify the suit and notify the party filing the initial

pleading. A designation shall not thereafter be changed except by order of the chief

judge or the district judge to whom the case is assigned.

(3) Assignment. The clerk shall place a case in one of the three categories described in

subsection (a)(1) and, unless otherwise ordered by the court, assign it by lot among

the district judges in active service at their respective duty stations in accordance

with this rule in such manner that each such district judge shall be assigned as nearly

as possible the same number of cases in each category. A senior judge may limit

the category of case and nature of suit assigned to that judge and, within the

categories of cases or suits that senior judge will accept, assignment shall be by lot

in accordance with this rule.

(b) Criminal Cases.

(1) Categories of Cases. All criminal cases shall be divided into the following three

categories:

I - Felony cases expected to require a combined total of 15 days or more for

pretrial hearings and trial before a district judge.

II - All other felony cases.

III - All misdemeanor and petty offense cases where a district judge has been

requested; all cases transferred under Fed. R. Crim. P. 20; cases involving

waivers of indictment; and all matters involving alleged violations of

conditions of release by persons transferred to this district for supervision.

(2) Designation of Category. The attorney for the United States shall identify the

appropriate category on Form JS 45, as modified for the District of Massachusetts,

or any successor form, and submit the form contemporaneously with the document

that initiates the case. If the clerk should determine that the designation of category

is in error, the clerk shall correctly classify the case and notify the attorney for the

United States. The designation shall not thereafter be changed except by order of

the chief judge or the district judge to whom the case is assigned.

(3) Assignment. The clerk shall place a case in one of the three categories described in

subsection (b)(1) and, unless otherwise ordered by the court, assign it by lot among

the district judges in active service at their respective active duty stations within the

divisions of the court in accordance with this rule in such manner that each district

judge shall be assigned as nearly as possible the same number of cases in each

category. A senior judge may limit the category of cases or types of alleged criminal

offenses assigned to that judge and within the categories of cases or offenses that

senior judge will accept, assignment shall be in accordance with this rule.

comprising three divisions.

(1) Eastern Division. The Eastern Division of the District of Massachusetts comprises

the counties of Barnstable, Bristol, Dukes, Essex, Middlesex, Nantucket, Norfolk,

Plymouth, and Suffolk. Cases assigned to the Eastern Division and all pleadings

and documents therein shall be filed in the clerk's office in Boston.

(2) Central Division. The Central Division of the District of Massachusetts is

Worcester County. Cases assigned to the Central Division and all pleadings and

documents therein shall be filed in the clerk's office in Worcester.

(3) Western Division. The Western Division of the District of Massachusetts comprises

the counties of Berkshire, Franklin, Hampden and Hampshire. Cases shall be

assigned to the Western Division and all pleadings and documents therein shall be

filed in the clerk's office in Springfield.

(d) Assignment of Civil Cases.

(1) Civil cases shall be assigned to the respective divisions if:

(A) All of the parties reside in that division.

(B) All of the parties reside in the District of Massachusetts and the majority of

the plaintiff(s) reside(s) in that division.

division; or

(D) Any of the parties are the United States, the Commonwealth of

Massachusetts, or any governmental agency of either the United States or

the Commonwealth of Massachusetts and a majority of all other parties

resident in the District of Massachusetts reside in that division.

(E) Except as otherwise ordered by the court, cases not governed by subsection

(d)(1) may be filed, subject to reassignment and transfer, in the division

chosen by the plaintiff.

(e) Assignment of Criminal Cases. Criminal cases shall be assigned to that division in

which the most significant criminal conduct related to the alleged violations occurred

within the District of Massachusetts. All documents in each criminal case shall be filed in

the clerk's office administering cases for the division to which that case is assigned.

(f) Transfer between Divisions. Any case may be transferred from one division to another

division on motion of any party for good cause shown or sua sponte for good cause by

the district judge to whom the case is assigned.

(g) Related Civil Cases.

(1) Definition of “Related” Civil Cases. For purposes of this rule, a civil case shall be

deemed related to another civil case only if:

(A)

some or all of the parties are the same; and

(B)

one or more of the following similarities exist:

the cases involve the same or substantially similar issues of fact;

ii.

the cases arise out of the same occurrence, transaction or property;

iii.

the cases involve insurance coverage for the same property, transaction

or occurrence.

(2) Criminal and Civil Cases. For the purposes of this rule, a civil case shall be deemed

related to a criminal case only if:

(A) the civil case involves forfeiture of property from a transaction or occurrence

that is the subject of a previously filed criminal case, enforcement of a

restitution order or fine imposed in a previously filed criminal case or if it

seeks some other form of civil enforcement relief relating to a previously

filed criminal case.

(3) Common Question of Law Not Sufficient. Civil cases, even when they involve

some or all of the same parties, shall not be deemed related to each other solely on

the ground that they:

(A)

involve the same or substantially similar challenges to a law, regulation, or

government policy or practice; or

(B)

otherwise involve a common question of law.

(4) Time Limitation. Civil cases shall not be deemed related if more than two years

have lapsed since the closing of the earlier case.

(5) Designation of Relatedness. If the plaintiff (or other party filing the initial pleading)

believes that the case is related to any earlier filed case, whether or not the earlier

case is still open (provided that not more than two years has elapsed since the closing

of the earlier case), that party shall:

(A)

notify the clerk by notation on the civil category sheet indicating the title

and number of the earlier filed case; and

(B)

file a written certification in the later-filed case specifically stating the basis

for designating the two cases as related.

(C)

Unless good cause is shown, designation of relatedness by plaintiff (or other

party filing the initial pleading) shall be made at the time of the filing of the

initial pleading.

(6) Objection to Designation of Relatedness or Lack of Designation of Relatedness.

(A)

If the defendant (or other responding party) believes that a case that has been

designated as related should not have been so designated, that party shall file

a motion in the later filed case to return the case to the clerk for reassignment.

(B)

If the defendant (or other responding party) believes that a case that has not

been designated as related should have been so designated, that party shall

file a motion in the later filed case for the judge’s consideration of transfer or

reassignment of the case pursuant to Section i of this Rule.

(C)

Unless good cause is shown, objection to designation of relatedness or lack

of designation of relatedness shall be made within 30 days of a responsive

pleading being filed.

(7) Assignment by Clerk. The clerk shall assign related cases to the same district judge

without regard to the number of other cases in that category previously assigned to

that judge. Related cases shall be counted as cases assigned, except as the chief judge

may otherwise direct.

(8) Correction of Designation as “Related.” The assignment of cases as related by the

clerk shall be subject to correction only by the district judge to whom they have been

assigned, who shall return cases erroneously assigned on that basis to the clerk for

reassignment.

(9) Correction of Designation as “Not Related.” The treatment of a case as not related

to another case shall be subject to correction only by the joint decision of the district

judge to whom it has been assigned and the district judge to whom it should be

assigned, if related to an earlier filed case. The judges may then transfer the case

pursuant to Section i of this Rule and shall notify the clerk of the transfer.

(h) Related Criminal Cases.

(1) Definition of “Related” Criminal Cases. For purposes of this rule, a criminal case

shall be deemed related to another criminal case only if:

(A) the case arises out of the same, or substantially similar, charged scheme(s),

transaction(s) and/or event(s) or a series of same, regardless of whether the matter

is charged as a conspiracy;

(B) one or more cases, by sharing common events or defendants, would entail

substantial duplication of effort in the pretrial, trial and/or sentencing phases if

heard by different judges.

That an individual defendant is charged in more than one case before different judges pending at

the same time (if those cases are not otherwise related as defined above) does not make those cases

related. However, nothing in this subsection shall bar transfer of a revocation matter involving new

criminal conduct to the judge who has drawn any new indictment for that criminal conduct.

Moreover, nothing in this subsection shall bar the transfer of criminal cases as allowed under

Section (j)(2) of this Rule.

(2) Criminal and Civil Cases. For the purposes of this rule, a criminal case shall be deemed

related to a civil case only under the circumstance explained in Section (g)(2) of this

Rule.

(3) Common Questions of Law Not Sufficient. Criminal cases, even when they involve some

or all of the same defendants, shall not be deemed related to each other solely on the

ground that they:

(A) involve the same charge(s);

(B) challenge the legality of the charge or government policy or practice; or

(4) Time Limitation. Criminal cases shall not be deemed related if more than two years have

lapsed since the closing of the earlier case and commencement of the new case.

(5) Designation of Relatedness. If the government believes that the case is related to any

earlier filed case (regardless of whether the earlier case was initiated by indictment or

information) and whether or not the earlier case is still open (provided that not more

than two years has elapsed since the closing of the earlier case), the government shall:

(A) notify the clerk by notation on the criminal category sheet indicating the title and

number of the earlier filed case; and

(B) file a written certification in the later-filed case specifically stating the basis for

designating the two cases as related.

made at the time of the filing of the initial charging document (whether that is by

indictment or information). One example of “good cause” would be the prior

authorized sealing of the indictment or information.

(6) Objection to Designation of Relatedness or Lack of Designation of Relatedness.

(A) If a defendant believes that a case that has been designated as related should not

have been so designated, that party shall file a motion in the later filed case to return

the case to the clerk for reassignment.

(B) If a defendant believes that a case that has not been designated as related should

have been so designated, that party shall file a motion in the later filed case for the

judge’s consideration of transfer or reassignment of the case pursuant to Section j

of this Rule.

designation of relatedness shall be made within 30 days of arraignment.

(7) Assignment by Clerk. The clerk shall assign related cases to the same district judge

without regard to the number of other cases in that category previously assigned to that

judge. Related cases shall be counted as cases assigned, except as the chief judge may

otherwise direct.

(8) Correction of Designation as “Related.” The assignment of cases as related by the clerk

shall be subject to correction only by the district judge to whom they have been assigned,

who shall return cases erroneously assigned based on relatedness to the clerk for

reassignment.

(9) Correction of Designation as “Not Related.” The treatment of a case as not related to

another case shall be subject to correction only by the joint decision of the district judge

to whom it has been assigned and the district judge to whom it would be assigned, if

related to an earlier filed case. If a joint decision between the district judges cannot be

reached, then the chief judge shall decide if correction is necessary. The judge(s) may

then transfer the case and shall notify the clerk of the transfer.

(i) Proceedings after Assignment. Unless otherwise ordered by the court, all proceedings in

a case after its assignment shall be conducted before the district judge to whom it has been

assigned, except as otherwise provided in these rules. This subsection does not preclude

reassignment of cases by the court or the clerk, at the direction of the court, without prior

notice to the parties.

(j) Reassignment and Transfer of Cases.

(1) Generally. In the interest of justice or to further the efficient performance of the

business of the court, a district judge may return a case to the clerk for

reassignment, whether or not the case is related to any other case, with the

approval of the chief judge, or, with respect to civil cases only and whether or

not the case is related to any other case, may transfer the case to another district

judge, if the other judge consents to the transfer.

(2) Transfers of Criminal Cases. A district judge may transfer a criminal case to

another district judge, with the consent of (1) the other judge, (2) the chief judge,

and (3) the parties in the transferred case, in order to permit a defendant charged

in multiple criminal cases to plead guilty, to stand trial, to be sentenced, or

otherwise to address in a single proceeding multiple criminal cases in which that

defendant has been charged.

(k) Motion for Consolidation of Cases. A motion for consolidation of two or more cases

shall be made in the case first filed in this court.

(l) Proceedings after Appeal.

(1) When an appellate court remands a case to this court for a new trial, the case shall

be reassigned to a district judge other than the judge before whom the first trial was

held.

(2) In all other cases in which the mandate of the appellate court requires further

proceedings in this court, such proceedings shall not be conducted before the district

judge before whom the prior proceedings were conducted unless the terms of the

remand require that further proceedings be conducted before the original judge or

unless the judge determines that there will result a substantial saving in the time of

the whole court and that there is no reason why, in the interest of justice, further

proceedings should be conducted before another judge. If the judge before whom

the prior proceedings were conducted does not retain the case for further

proceedings, that judge shall return it to the clerk for reassignment.

(m) Drawing of Civil Cases to Magistrate Judges. The court may adopt policies and

procedures permitting the assignment of certain civil cases to magistrate judges rather

than to district judges in accordance with this rule. Any such policies and procedures shall

include a requirement that the parties consent to the assignment, consistent with the

requirements of 28 U.S.C. § 636(c) and other federal law.

Effective September 1, 1990; amended effective January 1, 2001; August 2, 2011; January 3,

2012; September 6 ,2016; August 7, 2020; October 1, 2023.

RULE 40.2 CONFLICT OF COURT APPEARANCES

(a) Order of Preference and Notice to Deputy Clerks. In situations where counsel, including

Assistant United States Attorneys, have conflicting court appearances among cases

pending before different judicial officers of this court, the following order of preference

shall apply, except as otherwise provided by law:

(1) Trials shall take precedence over all other hearings, and jury trials shall take

precedence over nonjury trials.

(2) Criminal cases shall take precedence over civil cases.

(3) Criminal cases involving defendants who are in custody pending trial in the

particular case shall take precedence over other criminal cases.

(4) Among civil cases or among criminal cases not involving defendants in custody,

the case having the earliest docket number shall take precedence over the others.

When such conflicts appear, the counsel involved shall notify the deputy clerk assigned to

each judicial officer concerned, in writing, not later than 7 days after the receipt of the

notice or calendar giving rise to such conflict. The notice shall contain the names and

docket number of each case, the time of the scheduled hearings in each case, the purpose

thereof, and advise which case has precedence and the reason therefor. Upon receipt of

such notice and a determination that a conflict in fact exists, the case or cases not having

precedence shall be rescheduled.

(b) Substitution of Counsel. Counsel, in lieu of giving a notice of conflict, may elect to have

a colleague, including another Assistant United States Attorney, handle the matter for the

counsel involved. This shall not apply to any appointed defense counsel in the trial of

criminal cases, unless the judicial officer orders otherwise.

rule and the provisions of the Speedy Trial Plan for the District of Massachusetts, the

Speedy Trial Plan shall control.

(d) Scheduling Policy Regarding Superior Court Cases. When counsel have engagement

conflicts with respect to cases pending in the Massachusetts Superior Court and this court,

the following scheduling policy shall apply:

(1) Trials shall take precedence over all other hearings.

(2) Jury trials shall take precedence over nonjury trials.

(3) Criminal cases shall take precedence over civil cases.

(4) Criminal cases involving defendants who are in custody pending trial shall take

precedence over other criminal cases.

(5) Among civil cases, or among criminal cases not involving defendants in custody,

the case having the earliest docket number shall take precedence over the others,

except that a trial setting involving numerous parties and counsel will ordinarily

take precedence over other trials.

Counsel shall notify the presiding Superior Court Justice and the judicial officer of the

scheduling conflict, in writing, not later than 7 days after the receipt of the scheduling order

giving rise to the conflict. Counsel’s notification shall include (1) the names and docket

numbers of each case, (2) the date and time of the scheduled proceedings in each case, and

(3) a brief statement as to which case has precedence under this policy. The case or cases

not having precedence shall be rescheduled, unless the presiding Superior Court Justice

and judicial officer agree otherwise.

Effective September 1, 1990; amended effective January 2, 1995; December 1, 2009.

RULE 40.3 CONTINUANCES

(a) Generally. A motion for the continuance of a trial, evidentiary hearing, or any other

proceeding, will be granted only for good cause.

(b) Requirements for Motion. Motions to continue discovery and pretrial conferences will

not be entertained unless the date and time of the pretrial conference are set out in the

motion as well as a statement of how many other requests, if any, for continuances have

been sought and granted.

by a current medical certificate.

(d) Payment of Expenses. The judicial officer may condition a continuance upon the payment

of expenses caused to the other parties and of jury fees incurred by the court.

Effective September 1, 1990; amended effective October 1, 1992.

RULE 40.4 EMERGENCIES AND SPECIAL PROCEEDINGS

(a) Matters and Proceedings Heard by Miscellaneous Business Docket (MBD) Judge.

There will be designated an MBD judge to hear and determine:

(1) Emergency matters requiring immediate action in cases already assigned to any

district judge, if the judge to whom a case had been assigned is unavailable or

otherwise unable to hear the matter.

(2) Special proceedings, the nature of which precludes their assignment in the ordinary

course (for example, motions relating to grand jury investigations, discovery in

cases pending in other districts, enforcement of administrative subpoenas); and

(3) Any other proceedings, including an admission to the bar and a naturalization,

which are not part of or related to a case that should be assigned in the ordinary

course.

(b) Disposition of "Emergency" Matters. The MBD judge will dispose of matters pursuant

to subsection (a)(1), only to the extent necessary to meet the emergency. So far as

practicable, consistent with justice and the efficient performance of the business of the

court, the matter will be continued for disposition by the district judge to whom the case is

assigned.

is brought concludes that, for lack of an emergency or otherwise, the proceeding should

not be determined under this rule, the party who brought the proceeding shall not thereafter

present the same matter to any other judge sitting as MBD judge, unless relevant

circumstances change in the interim, in which case the party shall bring to the attention of

such other judge the prior proceeding and the changed circumstances which warrant

resubmission of the matter under this rule.

(d) Special and Other Proceedings. Proceedings pursuant to subsections (a)(2) and (3) shall

continue before the district judge first handling the matter until conclusion.

Effective September 1, 1990.

RULE 41.1 DISMISSAL FOR WANT OF PROSECUTION

(a) By the Clerk.

(1) Whenever in any civil action the clerk shall ascertain that no proceeding has been

docketed therein for a period of one year, the clerk shall then serve notice to all

persons who have entered an appearance in such a case that, subject to the

provisions of subsection (a)(3), the case will be dismissed without further notice 28

days after the sending of the notice.

(2) If no response is received within the 28-day period, without order of the court the

clerk shall, subject to the provisions of subsection (a)(3), enter an order of dismissal

for all cases on the list. It shall not be necessary for the clerk to serve additional

notice of the dismissal to any counsel or party.

(3) A case shall not be dismissed for lack of prosecution if within 28 days of the serving

of notice an explanation for the lack of proceedings is filed and the judicial officer

to whom the case is assigned orders that it not be dismissed.

(b) By the Court.

(1) Additionally, each judicial officer may from time to time give notice of not less

than 21 days of hearing on a dismissal calendar for actions or proceedings assigned

to that judicial officer that appear not to have been diligently prosecuted. Unless

otherwise ordered by the court, each party shall, not less than 14 days prior to the

noticed hearing date, serve and file a certificate describing the status of the action

or proceeding and showing that good cause exists for the court to retain the case on

the docket. Nothing in this rule precludes the filing of a motion for dismissal under

Fed. R. Civ. P. 41(b).

(2) Failure on the part of the plaintiff to file the required statement or to appear at the

scheduled hearing shall be grounds for the dismissal of the action.

merits unless the court on motion of a party directs otherwise.

Effective September 1, 1990; amended effective December 1, 2009.

RULE 43.1 TRIAL

(a) Time Limits for Evidentiary Hearing.

(1) Absent agreement of the parties as to the time limits for the trial acceptable to the

judicial officer, the judicial officer may order a presumptive limit of a specified

number of hours. This time shall be allocated equally between opposing parties, or

groups of aligned parties, unless otherwise ordered for good cause.

(2) A request for added time will be allowed only for good cause. In determining

whether to grant a motion for an increased allotment of time, the court will take into

account:

(A) whether or not the moving party has

(i) used the time since the commencement of trial in a reasonable and

proper way, and

(ii) complied with all orders regulating the trial;

(B) the moving party’s explanation as to the way in which the requested added

time would be used and why it is essential to assure a fair trial; and

in support of the motion.

The court will be receptive to motions for reducing or increasing the allotted time

to assure that the distribution is fair among the parties and adequate for developing

the evidence.

(b) Evidence at the Evidentiary Hearing.

(1) Each party shall give advance notice to the judicial officer and the other parties,

before jury selection, of the identity of all witnesses whose testimony it may offer

during trial, whether by affidavit, deposition, or oral testimony.

(2) Not later than 7 days before it seeks to use the testimony of any witness, or on

shorter notice for good cause shown, a party shall advise the judicial officer and all

other parties of its intent to use the testimony of the witness on a specified day.

(3) Except for good cause shown, no party shall be allowed to:

(A) use the testimony of a witness other than the witnesses already listed on the

filing with the court before trial commences; or introduce documentary

evidence, during direct examination, other than those exhibits already listed

with the judicial officer and furnished to the other parties before trial

commences.

Adopted effective October 1, 1992; amended effective December 1, 2009.

RULE 48.1 [DELETED]

Deleted effective January 2, 1995.

RULE 54.3 [DELETED]

Deleted effective January 2, 1995.

RULE 56.1 MOTIONS FOR SUMMARY JUDGMENT

Motions for summary judgment shall include a concise statement of the material facts of

record as to which the moving party contends there is no genuine issue to be tried, with page

references to affidavits, depositions and other documentation. Failure to include such a statement

constitutes grounds for denial of the motion. Opposition to motions for summary judgment must

be filed, unless the court orders otherwise, within 21 days after the motion is served. A party

opposing the motion shall include a concise statement of the material facts of record as to which it

is contended that there exists a genuine issue to be tried, with page references to affidavits,

depositions and other documentation. Copies of all referenced documentation shall be filed as

exhibits to the motion or opposition. Material facts of record set forth in the statement required to

be served by the moving party will be deemed for purposes of the motion to be admitted by

opposing parties unless controverted by the statement required to be served by opposing parties.

Unless the court orders otherwise, the moving party may file a reply within 14 days after the

response is served.

Effective September 1, 1990, amended effective December 1, 2009.

RULE 58.2 SATISFACTION OF JUDGMENTS

(a) Generally. Satisfaction of a money judgment shall be entered by the clerk without order

of the court:

(1) On payment into court of the amount of the judgment including costs taxed, plus

interest, and the amount of any fees due; or

(2) On the filing of a satisfaction of judgment executed by the judgment creditor, or the

creditor’s legal representative or assignees with evidence of their authority, or the

creditor’s attorney in the proceeding in which judgment has been entered; or

(3) On the filing of a satisfaction of judgment executed by the United States Attorney,

if the judgment is in favor of the United States; or

(4) On registration of a certified copy of a satisfaction of judgment entered in another

district court.

(b) Payment of Money into Court. When satisfaction is made by payment of money into

court, that fact shall be noted in the entry of satisfaction.

authorization for the clerk to accept payment into court.

(d) Mandate of an Appellate Court. An order or judgment of an appellate court in a case

appealed from this court shall, if further proceedings are not required, become the order or

judgment of this court and be entered as such on receipt of the mandate of the appellate

court.

Effective September 1, 1990.

RULE 62.2 STAY BY BOND OR OTHER SECURITY

A bond or other security staying execution of a money judgment shall be in the amount of

the judgment plus 10% of the amount to cover interest and any award of damages for delay plus

$500 to cover costs, unless the court directs otherwise.

Effective September 1, 1990. Amended effective November 1, 2019

RULE 67.1 SURETIES

(a) Members of the Bar and Court Officers. No judge, clerk, marshal, member of the bar or

other officer or employee of the court may be surety or guarantor of any bond or

undertaking in any proceeding in this court.

(b) Form of Bond. Surety bonds shall be signed and acknowledged by the party and the party’s

surety or sureties. They shall refer to the statute, rule, or court order under which given,

state the conditions of the obligation, and contain a provision expressly subjecting them to

all applicable federal statutes and rules.

undertaking must be secured by:

(1) The deposit of cash or obligations of the United States in the amount of the bond

(note L.R. 67.4 with regard to the court's cash policy); or

(2) The guaranty of a company or corporation holding a certificate of authority from

the Secretary of the Treasury pursuant to 31 U.S.C. § 9305; or

(3) The guaranty of two individual residents of this district, each of whom owns

unencumbered real or personal property within the district worth the amount of the

bond, in excess of legal obligations and exemptions.

(d) Deposits of cash or obligations of the United States shall be accompanied by a written

statement, duly acknowledged, that the signer is owner thereof, that the same is subject to

the conditions of the bond, and that the clerk may collect or sell the obligations and apply

the proceeds, or the cash deposited, in case of default as provided in the bond. Upon

satisfaction of the conditions of the bond, the monies or obligations shall be returned to the

owner on the order of a magistrate or district judge.

(e) Individual Sureties. An individual acting as surety pursuant to subsection (c)(3) shall file

an affidavit:

(1) Giving his or her name, occupation, and residential and business address;

(2) Showing that he or she is qualified to act as surety; and

(3) (In criminal cases) stating that he or she will not encumber or dispose of the

property on which his or her qualification as surety depends while the bond remains

in effect.

(f) Approval of Bond. Except as otherwise provided by law, the clerk may approve a bond in

the amount fixed by the court or by statute or rule, and secured in the manner provided by

subsections (c)(1) or (2). All other bonds must be approved by the court.

(g) Service. The party on whose behalf a bond is given shall promptly, after approval and filing

of the bond, serve a copy of it on all other parties to the proceeding. Such service need not

be made on the United States in a criminal case.

(h) Modification of Bond. The amount or terms of a bond or similar undertaking may be

changed at any time as justice requires, by order of the court on its own motion or on motion

of a party.

(i) Further Security. The court may order a party to furnish further or different security, or

require personal sureties to furnish further justification.

Effective September 1, 1990; amended effective May 3, 2016.

RULE 67.2 DEPOSIT IN COURT

The following procedures apply to deposits into the registry of the court in civil actions.

(a) Receipt of Funds.

(1) No money may be sent to the court or its officers for deposit into the court’s registry

without an order by a judicial officer.

(2) All money ordered to be paid to the court or received by its officers in any case

pending or adjudicated shall be deposited with the Treasurer of the United States in

the name and to the credit of this court pursuant to 28 U.S. C. § 2041 through

depositories designated by the Treasury to accept such deposit on its behalf.

(3) The party making the deposit or transferring funds to the court’s registry shall serve

the order permitting the deposit or transfer on the clerk.

(b) Investment of Registry Funds.

(1) Funds on deposit with the court will be placed in interest-bearing instruments in the

Court Registry Investment System (CRIS) administered by the Administrative

Office the United States Courts, which is the only investment mechanism

authorized.

(2) Under CRIS, monies deposited in each case under L.R. 67.2(a) shall be “pooled”

together with those on deposit with the Treasury to the credit of other courts in

CRIS and used to purchase Government Account Series securities through the

Bureau of Public Debt, which will be held at Treasury, in an account in the name

and to the credit of the Direct of Administrative Office of the United States Courts,

hereby designated custodian for the CRIS.

(3) An account for each case will be established in CRIS titled in the name of the case

giving rise to the investment in the fund. Income generated from fund investments

will be distributed to each case based on the ratio each account’s principal and

earnings has to the aggregate principal and income total in the fund. Reports

showing the interest earned and the principal amounts contributed in each case will

be prepared and distributed to each court participating in CRIS and made available

to litigants and/or their counsel.

(1) The custodian is authorized and directed by this rule to deduct the registry fee for

maintaining accounts in CRIS and the investment service fee for the management

of investments. The proper registry fee is to be determined on the basis of the rates

published by the Director of the Administrative Office of the United States as

approved by the Judicial Conference. The investment services fee is assessed from

interest earning according to the court’s Miscellaneous Fee Schedule.

(2) If registry fees were assessed against the case under the old 45-day requirement

prior to deposit in CRIS, no additional registry fee will be assessed.

Effective September 1, 1990; amended effective October 3, 2005; June 7, 2011.

RULE 67.3 DISBURSEMENT OF REGISTRY FUNDS

(a) Generally.

(1) The clerk shall not distribute any registry funds without an order of the presiding

judge. All orders for distribution, unless prepared by a deputy clerk assigned to the

financial section of the clerk's office, must be approved by the clerk before

presentation to the presiding judge.

(2) All checks drawn by the clerk on deposits made in the registry of the court shall be

made payable to the order of the payee(s) as the name(s) thereof appear in the orders

of this court providing for distribution.

(3) Disbursement from the registry of the court shall be made in accordance with the

terms and at the time provided in the order for disbursement, or immediately upon

receipt of the order if no time is specified, except in cases where it is necessary to

allow time for a check or draft to clear. Prior to distribution, any party claiming an

interest in the funds may move the court for a stay of the disbursement order

pending appeal.

(b) Payees. If more than one check is to be issued on a single order, the portion due to each

payee must be set out separately. In all cases, counsel must furnish the clerk with the

address and social security number or taxpayer identification number of each recipient, and

this number shall be included in the court order for release of funds.

made by the clerk of monies received in his or her official capacity, other than registry

funds, when made by check of the clerk on the Treasury of the United States, shall be made

to the payee as the name shall appear in the disbursement voucher certified by the clerk or

his or her designated certifying officer. The name of the payee in the disbursement voucher

shall conform to the name appearing in the clerk's records of the case to which the

disbursement relates. The clerk shall endeavor to note of record the given name of all

individuals making deposits of monies with the clerk. In those cases where the given name

appears of record, disbursement vouchers and checks thereunder shall show the full given

name, additional initials, if any, and the surname of the payee.

(d) Escrow Agents. In lieu of these provisions, an interested party may apply to the court for

appointment of escrow agents. Such agents may deposit funds in a financial institution in

an interest-bearing account and provide for the disposition of interest so earned, as

approved by the court.

Effective September 1, 1990; amended effective October 1, 2023.

RULE 67.4 PAYMENTS AND DEPOSITS MADE WITH THE CLERK

(a) Cash. The clerk will not routinely accept payments or deposits in cash. However, a judicial

officer, on motion of any party, may order that the clerk accept cash in a particular instance.

(b) Checks. All checks must be made payable to "Clerk, U.S. District Court." The clerk is

authorized to refuse any check not so made payable.

by certified check or its equivalent. The clerk shall require payment of bail to be made by

certified check or its equivalent, unless otherwise ordered by the court.

(d) Electronic Payment of Fees. When electronically filing any pleading or paper through

CM/ECF that requires a fee, all registered ECF users are to pay the fee electronically

through the Treasury Department’s Internet payment process (pay.gov). Pro se filers and

those who have been exempted from electronic filing and/or electronic payment of fees

may submit payments by check or money order made payable to “Clerk, U.S. District

Court”.

Effective September 1, 1990; amended effective January 1, 2009.

RULE 68.2 SETTLEMENT

When a case is settled, the parties shall file with the clerk a signed agreement for judgment

or stipulation for dismissal, as appropriate, within 28 days, unless the court otherwise orders.

Effective September 1, 1990; amended effective December 1, 2009.

RULE 77.1 SITTINGS

(a) Ordinary Sittings. The court shall be in continuous session for transacting judicial

business on all business days throughout the year at Boston, Worcester, and Springfield.

(b) Special Sessions. Any judicial officer may, in the interest of justice or to further efficient

performance of the business of the court, conduct proceedings at a special session at any

time, anywhere in the district, on request of a party or otherwise.

Effective September 1, 1990; amended effective January 1, 2001.

RULE 77.2 OFFICE OF THE CLERK

The offices of the clerk at Boston, Worcester and Springfield, shall be open from 8:30 a.m.

until 4:30 p.m. on all days except Saturdays, Sundays, legal holidays, and other days so ordered by

the court and announced in advance, if feasible.

Effective September 1, 1990. Amended effective November 1, 2019; June 17, 2022

RULE 79.1 EXHIBITS

(a) Custody.

(1) Unless otherwise ordered by the court, all exhibits marked in evidence or for

identification shall remain in the custody of the party that introduced them. Exhibits

shall be preserved in the form in which they were offered until the proceeding is

finally concluded. The party having custody shall make the exhibits available to all

parties.

(2) Any party may move the court for custody arrangements that differ from those in

subsection (a)(1) upon a showing of good cause. The court may, on its own motion,

provide for different custody arrangements or modify existing arrangements at any

time.

(3) A court order that the clerk take custody of any exhibit shall specify the period

during which the clerk shall maintain custody, the party to whom the exhibit shall

be returned at the end of the period, and provision for destruction by the clerk

without further notice to the parties at a set time after expiration of the custody

period, if the party to whom the exhibit is to be returned fails to remove it from the

custody of the clerk. Such court order shall constitute the only notice required for

the purpose of exhibit disposal.

(4) It shall be sufficient if orders under the above sections are in writing, signed by the

court or the clerk at the direction of the court, or are entered orally on the record

and the substance of the order is reproduced on the docket sheet.

(b) Photographs of Chalks. In order to make a record of a chalk, the court may permit a

party to photograph it or otherwise copy it, on such terms as are just. Unless otherwise

ordered by the court, in jury cases chalks may be destroyed by the clerk as soon as the

jury verdict has been recorded; in nonjury cases, chalks may be destroyed as soon as the

evidence is closed.

Effective September 1, 1990.

RULE 81.1 REMOVAL

(a) Filing of State Court Record. Within 28 days after filing a notice for removal of an action

from a state court to this court pursuant to 28 U.S.C. § 1446, the party filing the notice shall

file certified or attested copies of all records and proceedings in the state court and a

certified or attested copy of all docket entries in the state court.

(b) Failure to File. If the clerk has not received the papers required to be filed under subsection

(a) within 42 days of the filing of the notice for removal, the case shall be remanded to the

state court from which it was removed, unless the court directs otherwise.

the docket and order of remand, together with the remainder of the original file, to the clerk

of the state court.

(d) Timing of Remand. Absent a court order to the contrary, no sooner than 30 days following

an order of the court remanding a case to state court pursuant to 28 U.S.C. § 1447(c), the

clerk shall remand the case to state court consistent with subsection (c). A motion for

reconsideration of an order of remand shall not further delay the transfer of the file to state

court unless the court orders otherwise.

Effective September 1, 1990; amended effective December 1, 2009, June 17, 2022.

RULE 81.2 DEFINITION OF JUDICIAL OFFICER

As used in these rules, “judicial officer” refers to either a United States District Judge or a

United States Magistrate Judge.

Adopted effective October 1, 1992; amended effective August 1, 1997.

RULE 83.1.1 PROCEDURE FOR ADOPTING, RESCINDING AND AMENDING

RULES

(a) These rules may be amended or rescinded by a majority of the district judges.

(b) The clerk will maintain in suitable form an updated master copy of the rules.

Effective September 1, 1990; rescinded March 2, 2010.

RULE 83.1.2 GENERAL ORDER DOCKET

(a) General Order Docket. Effective upon the adoption of these local rules, the clerk shall

establish and maintain one general order docket for each calendar year.

(b) Rules and Orders. All rules, administrative orders or directives of the court and

amendments thereto shall bear a general order number assigned by the clerk, and be entered

on the general order docket.

remain in effect at the time of adoption of these rules, on the general order docket for the

year in which these rules are adopted.

(d) Standing Orders. Any judicial officer may enter standing orders for his or her session,

and may direct the clerk to maintain a docket therefor in accordance with subsections (a)

through (c).

Effective September 1, 1990.

RULE 83.2.1 RELEASE OF INFORMATION BY ATTORNEYS

(a) Generally. No lawyer shall release or authorize the release of information or opinion which

a reasonable person would expect to be disseminated by means of public communication,

in connection with pending or imminent criminal litigation with which the lawyer is

associated, if there is a reasonable likelihood that such dissemination will interfere with a

fair trial or otherwise prejudice the due administration of justice.

(b) Grand Jury and Criminal Investigation. With respect to a grand jury or other pending

investigation of any criminal matter, a lawyer participating in or associated with the

investigation shall refrain from making any extrajudicial statement, which a reasonable

person would expect to be disseminated by means of public communication, that goes

beyond the public record or that is not necessary to inform the public that the investigation

is underway, to describe the general scope of the investigation, to obtain assistance in the

apprehension of a suspect, to warn the public of any dangers, or otherwise to aid in the

investigation.

complaint, information, or indictment in any criminal matter until the commencement of

trial or disposition without trial, a lawyer associated with the prosecution or defense shall

not release or authorize the release of any extrajudicial statement, which a reasonable

person would expect to be disseminated by means of public communication, relating to

that matter and concerning:

(1) The prior criminal record (including arrests, indictments, or other charges of crime),

or the character or reputation of the accused, except that the lawyer may make a

factual statement of the accused's name, age, residence, occupation, and family

status, and if the accused has not been apprehended, a lawyer associated with the

prosecution may release any information necessary to aid in his apprehension or to

warn the public of any dangers the accused may present;

(2) The existence or contents of any confession, admission, or statement given by the

accused, or the refusal or failure of the accused to make any statement;

(3) The performance of any examinations or tests or the accused's refusal or failure to

submit to an examination or test;

(4) The identity, testimony, or credibility of prospective witnesses, except that the

lawyer may announce the identity of the victim if the announcement is not

otherwise prohibited by law;

(5) The possibility of a plea of guilty to the offense charged or a lesser offense; and

(6) Any opinion as to the accused's guilt or innocence as to the merits of the case or the

evidence in the case.

(d) Permitted Disclosures. The foregoing shall not be construed to preclude the lawyer during

this period, in the proper discharge of the lawyer’s official or professional obligations, from

announcing the facts and circumstances of arrest (including time and place of arrest,

resistance, pursuit, and use of weapons), the identity of the investigating and arresting

officer or agency, and the length of the investigation; from making an announcement, at

the time of seizure of any physical evidence other than a confession, admission or

statement, which is limited to a description of the evidence seized; from disclosing the

nature, substance, or text of the charge, including a brief description of the offense charged;

from quoting or referring without comment to public records of the court in the case; from

announcing the scheduling or result of any stage in the judicial process; from requesting

assistance in obtaining evidence; or from announcing without further comment that the

accused denies the charges.

(e) Statements During Trial. During the trial of any criminal matter, including the period of

selection of the jury, no lawyer associated with the prosecution or defense shall give or

authorize any extrajudicial statement or interview relating to the trial or the parties or issues

in the trial which a reasonable person would expect to be disseminated by means of public

communication, except that the lawyer may quote from or refer without comment to public

records of the court in the case.

(f) Statements Before Sentencing. After the completion of a trial or disposition without trial

of any criminal matter, and prior to the imposition of sentence, a lawyer associated with

the prosecution or defense shall refrain from making or authorizing any extrajudicial

statement which a reasonable person would expect to be disseminated by means of public

communication if there is a reasonable likelihood that such dissemination will affect the

imposition of sentence.

(g) Effect on Other Rules. Nothing in this rule is intended to preclude the formulation or

application of more restrictive rules relating to the release of information about juvenile or

other offenders, to preclude the holding of hearings or the lawful issuance of reports by

legislative, administrative, or investigative bodies, or to preclude any lawyer from replying

to charges of misconduct that are publicly made against him or her.

(h) Civil Cases. A lawyer associated with a civil action shall not during the investigation or

litigation make or participate in making an extrajudicial statement, other than a quotation

from or reference to public records, which a reasonable person would expect to be

disseminated by means of public communication if there is a reasonable likelihood that

such dissemination will interfere with a fair trial and which relates to:

(1) Evidence regarding the occurrence or transaction involved;

(2) The character, credibility, or criminal record of a party, witness, or prospective

witness;

(3) The performance or results of any examination or tests or the refusal or failure of a

party to submit to such;

(4) His or her opinion as to the merits of the claims or defenses of a party, except as

required by law or administrative rule;

(5) Any other matter reasonably likely to interfere with a fair trial of the action.

(i) Application to Law Firms and Agencies. The provisions of this rule concerning lawyers

shall apply to the law firm and government agencies or offices, and the partners and

employees of such firms, government agencies, or offices, with which the lawyer is

associated.

Effective September 1, 1990.

RULE 83.2.2 SPECIAL ORDERS FOR THE PROTECTION OF THE ACCUSED OR

THE LITIGANTS IN WIDELY PUBLICIZED OR SENSATIONAL CRIMINAL OR

CIVIL CASES

In a widely publicized or sensational criminal or civil case, the court, on motion of either

party or on its own motion, may issue a special order governing such matters as

(1) extrajudicial statements by parties and witnesses that are likely to interfere with the

rights of the accused or the litigants to a fair trial by an impartial jury,

(2) the seating and conduct in the courtroom of spectators and news media

representatives,

(3) the management and sequestration of jurors and witnesses, and

(4) any other matters that the court may deem appropriate for inclusion in such an

order.

Effective September 1, 1990.

RULE 83.3 PHOTOGRAPHING, RECORDING AND BROADCASTING

(a) Photographing, Recording, and Broadcasting Generally Prohibited. Except as

specifically provided in these rules or by order of the court, no person shall take any

photograph, make any recording, or make any broadcast by any means, in the course of or

in connection with any proceedings in this court, on any floor of any building on which

proceedings of this court are or, in the regular course of the business of the court, may be

held.

(b) Exceptions.

(1) Court Reporters. Official court reporters are not prohibited from making

voice recordings for the sole purpose of discharging their official duties. No

recording made for that purpose shall be used for any other purpose by any

person.

(2) Presentation of Evidence. The court may permit the use of electronic or

photographic means for the preservation of evidence or the perpetuation of

a record.

(3) Miscellaneous Proceedings. The court may permit the broadcasting,

televising, recording, or photographing of investitive, ceremonial, or

naturalization proceedings.

(4) File Review. The use of dictation equipment is permitted in the clerk’s

office by persons reviewing files in that office.

Effective September 1, 1990; amended effective September 6, 2011.

RULE 83.3.1 [DELETED]

Effective September 1, 1990; expired June 30, 1994.

RULE 83.3.2 [DELETED]

Adopted September 6, 2011; deleted effective [ ].

RULE 83.4 COURTROOM SEARCHES; COURTROOM SEATING

(a) Searches. All persons entering a courtroom are subject to search by the United States

Marshal, a Deputy United States Marshal, a Court Security Officer, or another officer

authorized by the court, as are all briefcases, parcels, or other containers carried by persons

entering a courtroom.

(b) Persons in Bar Enclosure. Except by leave of a judicial officer, only members of the bar

of this court may be seated within the bar enclosure.

Security Officers, or Federal Protective Officers, no weapons, other than exhibits, are

permitted in any courtroom. No other person, including any federal law enforcement agent,

shall bring a weapon other than an exhibit into any courtroom except as specifically set

forth in this rule. No firearm intended for introduction as an exhibit may be brought into

any courtroom unless it is first presented to a Marshal or Deputy Marshal for a safety check

and the marshal reports to the deputy clerk that the check has been completed.

(d) Prisoner Transportation. Nothing in this rule shall be construed as precluding (1) a

federal law enforcement officer having custody or in charge of the transportation of a

federal prisoner from carrying a firearm in a courtroom on the occasion of proceedings

under Fed. R. Civ. P. 5 or (2) a duly authorized correctional officer of the Commonwealth

of Massachusetts, entrusted with responsibility of transporting a state prisoner for civil or

criminal proceedings before a judicial officer where a Deputy Marshal is unavailable for

such purpose, from carrying a firearm in a courtroom. The judicial officer must, however,

be advised in advance of that fact.

Effective September 1, 1990.

RULE 83.5.1 ADMISSION TO THE DISTRICT BAR

(a) Eligibility for Admission. An attorney is eligible for admission to the bar of this district

if the attorney:

(1) is a member of the bar in good standing in Massachusetts;

(2) is a member of the bar in good standing in every jurisdiction in which the attorney

has been admitted to practice; and

(3) is not the subject of disciplinary proceedings pending in any jurisdiction in which

the attorney is a member of the bar.

(b) Procedure for Admission.

(1) Application. All applicants for admission to the bar of this district must:

(A) complete, verify, and file an application for admission on an official form provided

by the clerk;

(B) provide a Certificate of Good Standing from the Supreme Judicial Court of

Massachusetts; and

for the District of Massachusetts.

If the applicant has previously had a pro hac vice admission to this court (or other

admission for a limited purpose under L.R. 83.5.3) revoked for misconduct, the

applicant must notify the court of that fact, and describe the circumstances in detail.

(2) Review by Clerk. The clerk shall examine the application and Certificate of Good

Standing to determine whether the application is in order. If the application is in

order, the clerk shall place the name of the applicant on the list for the first available

admission ceremony. If the clerk questions whether the documents satisfy the

requirements, the clerk shall transmit the documents to the United States Attorney

for review.

(3) Review by United States Attorney. The United States Attorney shall make a

recommendation on the application within 21 days after transmittal of the

application. If the United States Attorney recommends that the application should

be granted, he or she shall return the application to the clerk with such

recommendation in writing. The clerk shall place the name of the applicant on the

list for the first available admission ceremony. If the United States Attorney

recommends that the application should not be granted, he or she shall return the

application to the clerk with written objection. The clerk may deny the application

without prejudice and send a notice of the denial to the applicant together with a

copy of the objection from the United States Attorney.

(4) Motion to Approve after Denial. Any applicant denied admission may file a motion

seeking to approve the application. The motion shall be served on the United States

Attorney and presented to the Miscellaneous Business Docket (MBD) judge. The

United States Attorney shall file any objection within 14 days of service. If the

court approves the application, the clerk shall place the name of the applicant on

the list for the first available admission ceremony.

(5) Oath or Affirmation. Approved applicants must make the following oath or

affirmation before a district judge or magistrate judge:

I solemnly swear (or affirm) that I shall conduct myself as a member of

the bar of the United States District Court for the District of

Massachusetts fairly and ethically and in accordance with the

Constitution of the United States, the law of this district, and the local

rules of this court.

(6) Registration and Fee. Approved applicants must also sign the register of attorneys

and pay the approved attorney admission fee to the clerk.

Effective September 1, 1990; amended effective December 1, 2009, January 1, 2015.

RULE 83.5.2 APPEARANCES

(a) Appearances Generally. The filing of an appearance or any other pleading signed on

behalf of a party constitutes an entry of appearance for that party. All pleadings shall

contain the name, bar admission number, address, telephone number, and e-mail address

of the attorney entering an appearance.

(b) Appearances by Law Firms. When a party is represented by a law firm, the appearance

must include the name and the signature of at least one individual attorney. When a party

is represented by more than one attorney from the same or different law firms, the attorney

entering the appearance must designate the individual attorney who is authorized to receive

all notices in the case. Any notice sent to an attorney so designated shall be deemed to be

proper notice unless the court finds that notice was not properly sent.

party by either of the following procedures.

(1) Appearance of Successor Counsel. An attorney may file a notice of withdrawal of

appearance that is either preceded or accompanied by the appearance of successor

counsel; provided, however, that leave of court must be obtained if:

(A) any motion is pending in the case;

(B) a trial date has been set;

(D) any reports, written or oral, are due.

(2) Leave of Court. An attorney may seek leave of court to withdraw his or her

appearance for good cause shown.

(d) Notice of Withdrawal. Any notice or motion to withdraw an appearance must be served

on the party whom the attorney represents and all other parties to the case. Any objections

to the withdrawal shall be filed within 14 days after service, unless the court shortens the

period for good cause shown.

Effective September 1, 1990, amended effective January 1, 2015.

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RULE 83.5.3 PRACTICE BY PERSONS NOT MEMBERS OF THE BAR

(a) Generally. An attorney who is not a member of the bar of this district may appear and

practice in this court as set forth in this rule.

(b) Requirement of Good Standing. Except as provided in subsection (e)(5) of this rule, no

attorney may appear and practice if he or she:

(1) is not a member of the bar in good standing in every jurisdiction in which the

attorney has been admitted to practice; or

(2) is the subject of disciplinary proceedings pending in any jurisdiction in which the

attorney is a member of the bar.

any of its departments or agencies may appear and practice as an attorney for the United

States, any department or agency of the United States, or any officer or employee of the

United States.

(d) Federal Defenders. An attorney employed in the Federal Defender’s Office in this District

may appear and practice as an attorney pursuant to a court appointment or on behalf of his

or her office.

(e) Procedural Requirements for Admission.

(1) Leave of Court Required. An attorney who is a member of the bar of any United

States District Court or the bar of the highest court of any state may appear and

practice in this court in a particular case by leave of court.

(2) Motion by Local Counsel. An application for leave to practice in this court shall be

made by motion of a member of the bar of this court, who shall also file an

appearance.

(3) Certification by Attorney. Any attorney seeking admission under this rule shall file

a signed certification that the attorney:

(A) is a member of the bar in good standing in every jurisdiction in which the attorney

has been admitted to practice;

(B) is not the subject of disciplinary proceedings pending in any jurisdiction in which

the attorney is a member of the bar;

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for a limited purpose under this rule) revoked for misconduct; and

(D) has read and agrees to comply with the Local Rules of the United States District

Court for the District of Massachusetts.

(4) Payment of Fee. An attorney seeking admission under this rule shall pay the

appropriate fee to the clerk.

(5) Attorney Subject to Pending Disciplinary Proceedings. An attorney who otherwise

satisfies the requirements of this rule, but who is the subject of disciplinary

proceedings pending in another jurisdiction that have not yet been resolved, may

seek to appear and practice in this court by providing, in lieu of the certification

required by subsection (e)(3) of this rule, a full explanation of the nature of the

proceedings and the alleged underlying conduct. Such an applicant may not be

permitted to appear and practice in this court unless the judicial officer concludes

that the proceeding is not reasonably likely to result in disbarment or suspension or

other serious attorney disciplinary action.

(f) Attorneys in Removed Cases. An attorney who is a member of the Massachusetts bar

who represents a party in a case that has been removed to this court, and who filed an

appearance in that case prior to its removal, may appear and practice in this court in that

case upon payment of the fee and the filing of the certification required by subsection (e)(3)

of this rule.

(g) Attorneys in Multidistrict Litigation Cases. An attorney who represents a party in a case

transferred to this district by the Judicial Panel on Multidistrict Litigation, and who filed

an appearance in that case prior to its transfer, may appear and practice in this court in that

case under such circumstances as the assigned judge may by order provide.

(h) Attorneys in Other Transferred Cases. An attorney who represents a party in a case

transferred to this district from another federal district, other than an MDL case, and who

filed an appearance in that case prior to its transfer, shall seek admission under this rule

within 21 days of the transfer to this court. The court may waive the requirement of local

counsel for good cause shown.

(i) Attorneys in Bankruptcy Cases. An attorney who has been granted leave to appear pro

hac vice in the bankruptcy court for this district in a case, contested matter, or adversary

proceeding may appear and practice in any appeal, motion to withdraw the reference, or

other proceeding pending in that same case, matter, or proceeding in the district court

without having to file another motion to appear pro hac vice in the district court.

(j) Emergency Filings. An attorney who is not a member of the bar of this district may sign

a complaint, answer, or other pleading reasonably necessary to prevent the expiration of a

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period of limitations or an entry of default; provided, however, that any such pleading is

accompanied by a motion for admission under this subsection, or such a motion is filed no

later than 7 days thereafter.

Effective September 1, 1990; amended effective February 1, 2012, January 1, 2015.

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RULE 83.5.4 PRACTICE BY LAW STUDENTS

(a) Generally. A qualified law student may appear and practice in this court as set forth in this

rule.

(b) Academic and Character Requirements.

(1) Generally. In order to appear and practice in this court, a student must:

(A) be a third-year law student, or equivalent, at an ABA-accredited law school;

(B) have successfully completed a course for credit, or be currently enrolled in

a course for credit, in evidence or trial practice; and

certified by the dean of the student’s law school as set forth in this rule.

(2) Criminal Cases. A student may not appear in a criminal case unless the student has

also successfully completed a course for credit in criminal procedure.

(3) Civil Cases. A student may not appear in a civil case unless the student has also

successfully completed a course for credit in civil procedure.

(4) Second-Year Students in Clinical Programs. Notwithstanding the requirements of

subsection (b)(1)(A) of this rule, a second-year law student, or equivalent, at an

accredited law school may appear in a civil case if the student is currently enrolled

in a law school clinical instruction program.

requirements have been met.

(1) Certification by Student. The student must sign a written certification that the

student has read and will abide by the rules of professional conduct followed by

this court and its local rules.

(2) Certification by Law School Dean. The dean of the student’s law school must sign

a written certification that the academic and character requirements of subsection

(b) of this rule have been met.

(3) Filing with Clerk; Duration. Both certifications must be filed with the clerk. The

certifications shall be in effect, unless withdrawn earlier, in any matter handled by

the student until the date of the student’s graduation from law school.

(d) Cases in Which Qualified Students May Appear. A student who is qualified under this

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rule may appear and practice as set forth below.

(1) Representation of Government. A student may represent the United States, or any

department or agency of the United States, or the Commonwealth of Massachusetts,

or any department or agency of the Commonwealth, under the supervision of an

attorney who is duly authorized to represent the government.

(2) Representation of Indigent Criminal Defendants. A student may represent an

indigent defendant in criminal proceedings, if the defendant consents as provided

in subsection (g), under the supervision of an attorney who has been appointed by

the court to represent the defendant.

(3) Representation of Indigent Civil Parties. A student may represent indigent parties

in civil proceedings, if the party consents as provided in subsection (g) of this rule,

under the supervision of:

(A) a member of the district bar appointed by the court to represent the party; or

(B) a member of the district bar employed by a nonprofit program of legal aid

or legal assistance or a law school clinical instruction program.

(e) Requirement of Supervision. A supervising attorney must be in attendance at all times

when a law student is appearing in court or meeting with a client pursuant to this rule.

(f) Requirement of Appearance by Supervising Attorney. A supervising attorney must file

a written appearance in any matter in which a law student appears under this rule.

(g) Requirement of Client Consent. Before performing work for a client, other than the

United States or a department or agency of the United States, the law student must:

(1) disclose to the client the student’s status as a law student;

(2) obtain from the client a signed document in which the client:

(A) acknowledges having been informed of the student’s status; and

(B) authorizes the named student to appear for and represent the client in the

litigation or proceedings identified in the document;

(3) have the document approved by the supervising attorney; and

(4) file the document with the clerk.

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(h) No Compensation. No student practicing under this rule may charge or receive any fee or

other compensation from a client. A student may, however, receive a fixed compensation

paid regularly by a governmental agency, legal aid or legal assistance program, or law

school clinical instruction program acting as the employer of the student.

(i) Rules of Professional Conduct. A student practicing under this rule shall comply with the

rules of professional conduct of this court. The failure of a supervising attorney to provide

proper training or supervision may be grounds for sanctions, disciplinary action, or

revocation or restriction of the attorney’s authority to supervise students.

(j) Client Communications. Students practicing under this rule shall be treated as attorneys

for purposes of applying the law and rules concerning attorney-client privilege, attorney

work-product protection, and other rules concerning attorney-client communications.

(k) Acknowledgment of Student Participation. A lawyer may place a student’s name and

law school on a pleading filed under the lawyer’s own name indicating that the law student

rendered assistance in the drafting of the pleading without complying with subsections (b)

though (g) of this rule.

Effective January 1, 2015.

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RULE 83.5.5 PRACTICE BY PRO SE LITIGANTS

(a) Generally. An individual who is not represented by counsel and who is a party in a pending

proceeding may appear pro se and represent himself or herself in the proceeding.

(b) No Representation of Other Parties. An individual appearing pro se may not represent

any other party and may not authorize any other individual who is not a member of the bar

of this district to appear on his or her behalf.

trust, estate, or other entity that is not an individual may not appear pro se. An individual

officer, director, partner, member, trustee, administrator, or executor may not appear on

behalf of an entity; provided, however, that if such an individual is also an attorney who is

otherwise permitted to practice in this court, the attorney may represent the entity if the

representation is otherwise appropriate under the circumstances. The court may strike any

pleading filed on behalf of any entity that purports to appear pro se.

(d) Requirement to Follow Rules. A pro se party is required to comply with these local rules.

(e) Requirement to Provide Mailing Address. Any party who appears pro se must provide

the clerk and all parties a mailing address at which service upon the pro se party can be

made. Service of pleadings and other papers under Rule 5 of the Federal Rules of Civil

Procedure and L.R. 5.2 may be made on a pro se party by sending copies by regular mail

to the party at the designated address.

(f) E-Mail Address. Any party who appears pro se may also provide the clerk and all parties

an e-mail address at which service upon that party may be made. A pro se party may

thereafter be served electronically at the designated e-mail address.

(g) Requirement for Documents Filed with Court. Any document requiring a signature that

is filed by a party appearing pro se shall bear the words “pro se” following that party’s

signature. Any such document shall also state the party’s mailing address, telephone

number (if any), and e-mail address (if any).

(h) Requirement to Update Addresses. Every party appearing pro se shall inform the clerk

and all parties in writing of any change of name, address, telephone number, or e-mail

address within 14 days of the change. It is the responsibility of the pro se party to notify

the clerk and the parties of any change. Any notice sent by the clerk or any party to a pro

se party shall be deemed delivered and properly served if sent to the most recent address

or e-mail address provided by the pro se party.

Effective January 1, 2015. Amended effective November 1, 2019

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RULE 83.5.6 ONGOING OBLIGATIONS

(a) Reporting Change of Address. Each member of the bar of this district must promptly

notify the clerk of any change in the attorney’s name, law firm name, address, telephone

number, or e-mail address. Any notice sent to a member of the bar of this district shall be

deemed delivered if sent to the most recent address on file.

(b) Reporting Disciplinary Matters. Each member of the bar of this district must promptly

notify the clerk of the imposition of any professional discipline against the attorney by any

court or body having disciplinary authority over attorneys that resulted in disbarment,

suspension, or any other attorney disciplinary action. Such notification must in any event

be made within 30 days of the imposition of the disciplinary action, unless good cause is

shown for failing to do so. A temporary suspension for failure to pay bar dues, not

exceeding 30 days in duration, need not be reported if no other professional discipline was

imposed.

notify the clerk of any criminal conviction against the attorney.

Effective January 1, 2015.

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RULE 83.5.7 REGISTRATION FOR ELECTRONIC CASE

MANAGEMENT/ELECTRONIC CASE FILES (CM/ECF)

(a) Requirement to Register. Attorneys who are members of the bar of this district or who

are permitted to appear and practice under L.R. 83.5.3 must register as filing users of the

court’s Case Management/ Electronic Case Filing System (“CM/ECF”).

(b) Form of Registration. An attorney who files an application for admission to the district

bar under L.R. 83.5.1 need not file a separate registration for electronic filing. All others

must complete and submit an approved CM/ECF registration form before filing any

documents electronically.

district must participate in the CM/ECF program and obtain the necessary training to

qualify as a registered user of CM/ECF.

(d) Improper Use. Any attorney who is a registered user of CM/ECF may be required by the

clerk to undergo additional training, or may be suspended or terminated by the clerk from

use of CM/ECF, based on misuse or improper use of CM/ECF.

Effective January 1, 2015.

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RULE 83.6.1 RULES OF PROFESSIONAL CONDUCT

(a) Rules of Professional Conduct. The rules of professional conduct for attorneys appearing

and practicing before this court shall be the Massachusetts Rules of Professional Conduct

adopted by the Massachusetts Supreme Judicial Court, as set forth as Rule 3:07 of that

court, as of January 1, 2015, subject to any subsequent amendments made pursuant to

subsection (b) of this rule, and any exceptions set forth in subsection (c) of this rule.

(b) Amendments to Rules. Any amendment to the Massachusetts Rules of Professional

Conduct adopted by the Massachusetts Supreme Judicial Court after January 1, 2015, shall

be deemed adopted by this court as of the same date, unless this court affirmatively declines

to adopt it by a majority vote of the full court or stays its adoption pending such a vote.

This court may also modify its rules of professional conduct at any time according to its

normal rulemaking procedures.

Rules of Professional Conduct:

(1) Rule 3.6 (governing trial publicity), to the extent it applies to imminent or pending

criminal investigations or litigation in this court; and

(2) Rule 3.8(f) (governing the issuance of certain subpoenas by prosecutors).

(d) Compliance with Rules Required. All attorneys who are admitted or authorized to

practice before this court shall comply with its rules of professional conduct in all matters

they handle before this court.

Effective September 1, 1990; amended effective August 1, 1997; December 1, 2009, January 1,

2015.

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RULE 83.6.2 JURISDICTION FOR DISCIPLINARY MATTERS

All attorneys who are admitted or authorized to practice before this court are deemed to have

consented to the jurisdiction of this court for any disciplinary proceedings arising out of any claims

of misconduct arising under these rules.

Effective January 1, 2015.

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RULE 83.6.3 FORMS OF MISCONDUCT

An attorney may be disciplined pursuant to these rules for the following types of misconduct:

(1) violation of the rules of professional conduct of this court;

(2) willful, recurrent, or egregious violation of these local rules or any order of the

court;

(3) failure to notify the court promptly of a criminal conviction or disciplinary action

as required by L.R. 83.5.6(b);

(4) conduct that resulted in disbarment, suspension, or any other attorney disciplinary

action in another jurisdiction;

(5) a conviction for a serious crime, as defined in L.R. 83.6.8; or

(6) conduct that resulted in a continuance without a finding in a matter involving a

charge of a serious crime, as defined in L.R. 83.6.8.

Effective January 1, 2015.

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RULE 83.6.4 FORMS OF DISCIPLINE

(a) Forms of Discipline Generally. An attorney may be subject to the following types of

discipline after a finding of misconduct pursuant to these rules:

(1) disbarment or suspension of the attorney from practicing before this court;

(2) revocation of an admission pro hac vice or other admission for a limited purpose

under Rule 83.5.3;

(3) public or private reprimand or censure;

(4) monetary sanctions;

(5) restitution to victims of the misconduct; and

(6) such other disciplinary action as may be reasonable under the circumstances.

(b) Other Sanctions. Nothing in these rules shall limit the authority of a judge to impose any

other sanctions otherwise permitted by law, including without limitation sanctions for

contempt of court or for litigation misconduct. The imposition of such other sanctions, by

this court or any other court, shall not constitute the imposition of professional discipline

within the meaning of these rules.

Effective January 1, 2015.

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RULE 83.6.5 DISCIPLINARY PROCEEDINGS

(a) Procedure Generally. The following procedures shall be employed in matters of alleged

attorney misconduct.

(b) Screening and Referral. All complaints of alleged attorney misconduct shall be screened

in the first instance by the judicial officer who presided over the case or matter, if any, in

which the misconduct occurred. If that judicial officer is unavailable, or if the proper

judicial officer cannot be readily determined, the clerk shall randomly assign the complaint

to a district judge other than the presiding judge for screening. Any judicial officer may

refer any matter of potential attorney misconduct to the presiding judge, as set forth below,

for review and possible further action. If the allegations of attorney misconduct are

reasonably plausible and potentially serious, the matter should be referred to the presiding

judge.

(1) Generally. After screening and referral, allegations of attorney misconduct shall be

handled by the presiding judge.

(2) Assignment of Presiding Judge. The presiding judge shall not be the judicial

officer who referred the matter for review or a judicial officer assigned to the case

or matter, if any, in which the matter arose. For cases arising in the Eastern

Division, the Miscellaneous Business Docket Judge shall be the presiding judge.

For cases arising in the Central Division, the presiding judge shall be the judge

assigned to the Western Division. For cases arising in the Western Division, the

presiding judge shall be the judge assigned to the Central Division. If the presiding

judge is disqualified under this rule, or recuses himself or herself, the matter will

be referred to the chief judge or, if he or she is disqualified, to the next active district

judge in order of seniority. Once a matter has been assigned to a particular judge

as the presiding judge, that judge shall remain the presiding judge for that matter

unless it is reassigned under L.R. 40.1(I).

(d) Initial Review and Action by Presiding Judge. The presiding judge shall conduct an

initial de novo review of the matter and shall take one or more of the following actions.

(1) No Action. The presiding judge may direct that no further action be taken, if he or

she concludes that the allegations do not describe a disciplinary violation or

otherwise are plainly without merit.

(2) Request for Explanation. The presiding judge may provide written notice to the

attorney specifying the alleged misconduct and affording the attorney an

opportunity to explain, either on the record or in writing, why he or she believes

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that formal disciplinary proceedings should not be commenced. If the presiding

judge is satisfied with the explanation, he or she may direct that no further action

be taken, or take such other steps consistent with these rules as may be appropriate.

(3) Resolution by Consent. The presiding judge may take any action, or enter any

order, consistent with these rules to permit a resolution of any disciplinary matter

by settlement or consent.

(4) Review by Special Counsel. The presiding judge may appoint special counsel to

conduct an investigation, to make a report to the court, and to perform any other

duty set forth in the order of appointment. If the matter proceeds to a formal

disciplinary proceeding, the presiding judge may direct that special counsel may

continue to act and may present evidence, examine witnesses, and otherwise

participate in the proceeding.

(5) Temporary Suspension. The presiding judge may suspend the attorney on a

temporary basis pursuant to L.R. 83.6.6.

(6) Commencement of Formal Proceedings. The presiding judge may initiate formal

proceedings against the attorney, as set forth below.

(7) Other Action. The presiding judge may take any other action that is authorized by

law, not inconsistent with these rules, and reasonably necessary to the exercise of

his or her authority under these rules.

(e) Referrals to Other Authorities.

(1) State Bar Disciplinary Authorities. The presiding judge may refer the matter to a

state bar disciplinary authority with a request that the authority report its actions to

the court.

(2) Federal Authorities. In the case of an attorney for the United States or any

department of agency of the United States, the presiding judge may refer the matter

to the Department of Justice Office of Professional Responsibility, or to any other

federal office or agency with supervisory or disciplinary authority over the attorney,

with a request that the office or agency report its actions to the court.

(3) Effect of Referral. The presiding judge may continue to conduct any review,

investigation, or proceeding, and impose any discipline, notwithstanding the

referral of a matter to an outside authority. In the alternative, the presiding judge

may, in the interests of justice, stay or suspend any such review, investigation, or

proceeding pending resolution of same or a related matter by another authority.

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(4) Notification to Clerk. The presiding judge shall notify the clerk of any referral to

an outside authority, who shall keep a record of all such referrals.

(f) Notice and Opportunity to Be Heard. No discipline shall be imposed against an attorney

pursuant to these rules without notice and an opportunity to be heard as to both the finding

of misconduct and the form of the discipline.

(g) Discovery. The presiding judge shall order such discovery as may be reasonably necessary

to ensure that the proceeding is fair to all parties. The presiding judge may, in his or her

discretion, order such additional discovery as may be appropriate under the circumstances.

(h) Requirement of Cooperation. Any attorney who is the subject of an investigation or

review, or a witness in such a matter, shall cooperate and shall reasonably and promptly

respond to inquiries from the court and its agents; provided, however, that an attorney may

make a valid assertion of his or her constitutional rights, any applicable privilege, or any

other right provided by law. Any failure to cooperate under this rule may itself result in

disciplinary action.

(i) Formal Disciplinary Proceedings.

(1) Show Cause Order. A formal disciplinary proceeding against an attorney shall

commence by the issuance of a show-cause order by the presiding judge. The show-

cause order shall direct the attorney to appear and show cause why disciplinary

action should not be taken against the attorney for reasons stated in the order.

(2) Service of Notice. The order may be served upon the attorney by mailing a copy to

him or her at the address provided by the attorney pursuant to these local rules or

by any other means reasonably calculated to provide notice to the attorney.

(3) Special Counsel. If special counsel has not already been appointed, the presiding

judge may appoint such counsel to present evidence and examine witnesses at any

hearing and otherwise to participate in the proceeding.

(4) Written Response. The attorney shall file a written response to the show-cause

order within 28 days after service. If the attorney requests a hearing to resolve any

disputed issue of material fact raised in the response, or if the attorney does not

dispute the misconduct but wishes to be heard on the issue of the appropriate form

of discipline, the presiding judge shall set the matter for hearing.

(5) Hearing. The presiding judge shall hold a hearing as necessary and appropriate to

resolve any disputed issues of material fact, to determine whether any attorney

misconduct occurred, and to determine the appropriate form of discipline. The

respondent attorney may be represented by counsel and may, upon reasonable

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request, present evidence and cross-examine witnesses. The presiding judge shall

make any factual findings on the record in open court or in a written order.

(6) Standard of Proof. Any factual predicate must be proved according to the standard

of proof applied in attorney discipline matters in the courts of the Commonwealth

of Massachusetts.

(7) Public Proceeding. Unless the presiding judge orders otherwise for good cause

shown, any such hearing shall be open to the public.

(8) Findings. The presiding judge shall issue a written order setting forth his or her

conclusions and the reasons therefor and the final disposition of the matter,

including any discipline imposed on the attorney. Any order imposing attorney

discipline shall be entered as a final judgment under Fed. R. Civ. P. 54.

(j) Reference to Magistrate Judge. The presiding judge may refer an attorney disciplinary

matter to a magistrate judge.

(1) Disqualification. The designated magistrate judge shall not be the judicial officer

who referred the matter for review or a judicial officer assigned to the case or

matter, if any, in which the matter arose.

(2) Preliminary Stage. If the matter is at the preliminary or informal stage, the

magistrate judge may review the matter, make a report and recommendation to the

court, or perform any other duty specified in the order of referral.

(3) Formal Disciplinary Proceedings. If the matter has proceeded to formal

disciplinary proceedings, the magistrate judge shall make a written report and

recommendation to the presiding judge, including proposed factual findings.

(4) Objections and District Judge Review. Any objections to a report and

recommendation, and any review by the presiding judge, shall proceed in

accordance with the requirements of 28 U.S.C. § 636(b)(1).

(k) Participation of Victims in Proceedings. The court shall give due regard to the victims

or potential victims of any attorney misconduct in the conduct of any proceedings and the

issuance of any disciplinary order. The court shall endeavor to provide notice of any

hearing to such persons and permit them to be heard as appropriate. The court shall also

consider whether an order of restitution is appropriate in any disciplinary order.

(l) Appeal.

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(1) Generally. An appeal from a judgment or order entered under this rule may be

taken in accordance with the Federal Rules of Appellate Procedure and other

applicable federal law.

(2) Appeal by Court. An appeal may be taken on behalf of the court by the special

counsel who handled the proceeding, or by special counsel appointed for that

purpose, if the court, by a majority vote of the full court, so directs. Any district

judge, bankruptcy judge, or magistrate judge may request that the full court

consider taking an appeal in a particular matter. The court may delay entry of

judgment or take such other steps as may be reasonably necessary to preserve the

right of appeal while the matter is under consideration.

Effective January 1, 2015.

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RULE 83.6.6 TEMPORARY SUSPENSION

(a) Temporary Suspension Generally. The presiding judge, in accordance with this rule, may

enter a temporary restraining order or preliminary injunction under Fed. R. Civ. P. 65

immediately suspending an attorney’s right to practice law in this court or in the bankruptcy

court of this district, pending the outcome of a disciplinary proceeding under these rules.

(b) No Temporary Suspension by Complaining Judicial Officer. A complaint, referral, or

report and recommendation seeking an order of temporary suspension shall be referred to

the presiding judge in accordance with L.R. 83.6.5(c). An order of temporary suspension

shall not be entered by a judicial officer who presided over the case or matter, if any, in

which the alleged misconduct occurred.

the attorney and an opportunity to be heard.

(d) Standard for Temporary Suspension. The presiding judge shall consider the following

factors when determining whether to issue an order of temporary suspension:

(1) whether a disciplinary complaint has a substantial likelihood of success on the

merits and is likely to result in an order of suspension or disbarment;

(2) whether the attorney’s continued practice of law in this court pending the outcome

of any disciplinary proceedings presents a significant ongoing risk of harm to the

public;

(3) whether the balance of equities, including a weighing of the ongoing risk of harm

to the public against the harm to the attorney resulting from an immediate

suspension, warrants suspension; and

(4) whether the public interest favors entry of the order.

(e) Written Report by District Judge. If a district judge determines that an attorney should

be the subject of an order of temporary suspension, the district judge shall issue an order to

show cause why an attorney should not be immediately suspended from practice in the

district court and a written report setting forth the basis of the judge’s belief. The order to

show cause and written report shall be served on the attorney with a date by which the

attorney should respond. The matter shall be immediately referred to the presiding judge,

who shall consider it on an expedited basis.

(f) Report and Recommendation by Bankruptcy Judge or Magistrate Judge. If a

bankruptcy judge or magistrate judge believes that an attorney should be the subject of an

order of temporary suspension, the bankruptcy judge or magistrate judge shall issue an

order to show cause why the attorney should not be immediately suspended from practice

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in the district court and a report and recommendation to the district court setting forth the

facts warranting such relief. The order to show cause and report and recommendation shall

be served on the attorney with a date by which the attorney should respond. The order to

show cause and the report and recommendation shall be immediately referred to the

presiding judge, who shall consider the matter on an expedited basis.

(g) Modification of Suspension. After notice and hearing, and for good cause shown, the

presiding judge may vacate or modify any order of temporary suspension issued under this

rule.

(h) Formal Disciplinary Proceedings. If a formal disciplinary proceeding has not yet been

initiated under L.R. 83.6.5(g) at the time the order of temporary suspension is requested or

issued, such a proceeding shall be initiated reasonably promptly thereafter.

Effective January 1, 2015.

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RULE 83.6.7 DISBARMENT BY CONSENT

(a) Consent to Disbarment Generally. Any attorney admitted to practice before this court

may consent to disbarment.

(b) Procedure. In order to consent to disbarment, the attorney must deliver an affidavit to the

court stating that:

(1) the attorney wishes to consent to disbarment;

(2) the attorney’s consent is freely and voluntarily given and not made under coercion

or duress;

(3) the attorney is fully aware of the implications of consenting to disbarment; and

(4) the attorney is aware of the pending investigation or proceeding and that grounds

exist for disciplinary action, the nature of which shall be specifically set forth.

The affidavit shall also identify all jurisdictions in which the attorney has been admitted to

practice. Upon receipt of the required affidavit, the chief judge shall enter an order

disbarring the attorney, and direct the clerk to send a copy of the order to all jurisdictions

in which the disbarred attorney has been admitted to practice.

Effective January 1, 2015.

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RULE 83.6.8 DISCIPLINE AFTER CRIMINAL CONVICTION

(a) Effect of Criminal Conviction.

(1) Summary Suspension. When an attorney who is a member of the bar of this district

or who is permitted to practice in this court has been convicted of a serious crime,

as defined in subsection (b) of this rule, the attorney shall be summarily suspended

from practicing before this court.

(2) Suspension Procedure. The court shall enter an order immediately suspending an

attorney from practicing before this court upon the filing of a certified copy of a

judgment or other official court records reflecting a criminal conviction. A copy of

such order shall immediately be served upon the attorney. The matter shall then be

referred to the presiding judge in accordance with L.R. 83.6.5(c) for further review

and action.

(3) Setting Aside Suspension. Upon good cause shown, the presiding judge may set

aside such order when it appears in the interest of justice to do so.

(4) Subsequent Disciplinary Proceeding. In addition to suspending the attorney, the

presiding judge shall commence a formal disciplinary proceeding against the

attorney, provided, however, that the disciplinary proceeding so instituted shall not

be brought to final hearing until all appeals from the conviction are concluded.

(b) Definition of “Serious Crime.” The term “serious crime” shall be defined for purposes of

this rule as follows.

(1) Types of Crime. “Serious crime” shall include:

(A) any felony or other crime punishable by a term of imprisonment of more

than one year;

(B) any crime involving obstruction of justice, interference with the

administration of justice, witness intimidation, perjury, or suborning

perjury;

misrepresentation, or deceit;

(D) any crime involving bribery, extortion, or unlawful payments to a

government official;

(E) any crime involving misappropriation of property or embezzlement;

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(F) any crime involving willful failure to file tax returns or filing false tax

returns; and

(G) any attempt, conspiracy, or solicitation of another to commit such crimes.

(2) Jurisdictions. A conviction for a “serious crime” shall qualify if it occurred in any

court of the United States, any state, the District of Columbia, or any territory,

commonwealth, or possession of the United States.

to include any disposition of a criminal matter by a finding of guilty or a plea of nolo

contendere, whether or not that disposition has been appealed or is otherwise under court

review.

(d) Effect of Reversal of Conviction. An attorney who was suspended under the provisions

of this rule will be reinstated immediately upon the filing of a certificate demonstrating that

the conviction has been reversed. The reinstatement will not, however, automatically

terminate any disciplinary proceeding then pending against the attorney arising out of the

matters for which the attorney was prosecuted.

(e) Effect of Other Crimes. Evidence that an attorney committed a crime other than a “serious

crime” as defined in this rule may form the basis for a disciplinary proceeding or other

action against the attorney, even though it may not result in a summary suspension.

Effective January 1, 2015.

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RULE 83.6.9 RECIPROCAL DISCIPLINE

(a) Generally. When an attorney who is a member of the bar of this district or who is permitted

to practice in this court has been disbarred or suspended in any other jurisdiction, the

attorney may be subject to reciprocal discipline as set forth below.

(b) Notice and Show-Cause Order. Upon the filing of a certified copy of a judgment, order,

or other official record demonstrating that the attorney has been disciplined by another

court, this court shall promptly issue a notice to the attorney with the following:

(1) a copy of the judgment or order or other official record; and

(2) an order to show cause, within 28 days after service of the order, why this court

should not impose the identical discipline.

or does not contest the matter, this court shall impose the identical discipline imposed by

the other court. If the attorney responds within that period and contests the matter, the

matter shall be referred to the presiding judge in accordance with L.R. 83.6.5(c) for further

review and action.

(d) Effect of Stay. In the event the action imposed in the other jurisdiction has been stayed

there, any reciprocal action taken by this court shall be deferred until such stay expires.

(e) Effect of Decision by Other Court.

(1) If, with respect to the action taken by the other court, the presiding judge finds:

(A) that the procedure was so lacking in notice or opportunity to be heard as to

constitute a deprivation of due process;

(B) that there was such an infirmity of proof establishing the misconduct as to

give rise to the clear conviction that this court could not, consistent with its

duty, accept as final the other court’s conclusion on that subject;

same finding by this court would result in grave injustice; or

(D) that the conduct at issue is deemed by the presiding judge to warrant

substantially different disciplinary action,

the presiding judge may enter such other orders as he or she deems appropriate

under the circumstances.

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(2) In all other respects, a final adjudication in another jurisdiction that an attorney has

been guilty of misconduct shall establish conclusively the misconduct for purposes

of any proceeding under this rule.

(f) Definition of “Court.” The term “court” shall be defined for purposes of this rule as any

court, or other governmental body having supervisory or disciplinary authority over

attorneys, of the United States, any state, the District of Columbia, or any territory,

commonwealth, or possession of the United States.

Effective January 1, 2015.

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RULE 83.6.10 REINSTATEMENT

(a) Reinstatement after Suspension. An attorney who has been suspended shall be

automatically reinstated at the end of the period of suspension upon the filing of an

affidavit stating that:

(1) the period of suspension has expired; and

(2) the attorney has complied with all requirements of any order of suspension.

(b) Reinstatement after Disbarment or Resignation.

(1) Generally. An individual who has ceased to be a member of the district bar for any

reason, including disbarment or resignation, may apply for reinstatement.

(2) Application Requirements. An applicant for reinstatement shall:

(A) complete, verify, and file an application for reinstatement on an official

form provided by the clerk;

(B) file an affidavit of compliance with any applicable court order imposing

conditions as a part of attorney discipline; and

(3) Waiting Period. An attorney who has been disbarred after hearing or by consent

may not apply for reinstatement until at least 5 years after the effective date of

disbarment.

(4) Procedure on Application. An application for reinstatement shall be referred to the

presiding judge in accordance with L.R. 83.6.5(c) for review and further action.

(A) The presiding judge may designate a magistrate or bankruptcy judge to issue

a report and recommendation as to whether or not the application should be

approved.

(B) The presiding judge may appoint special counsel to conduct an

investigation, to make a report to the court, and to perform any other duty

set forth in the order of appointment.

(D) The presiding judge may refer the matter to a magistrate judge for report

and recommendation pursuant to 28 U.S.C. § 636(b)(l).

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(5) Standard for Reinstatement. The applicant shall have the burden of demonstrating

by clear and convincing evidence that he or she is qualified and fit to practice law

before this court and that the applicant’s resumption of the practice of law before

this court will not adversely affect the interests of potential clients, public

confidence in the integrity of the bar of this court, or the proper administration of

justice.

(6) Approval by District Court Required. If the presiding judge grants the application

of an applicant who had been previously disbarred, the matter will be referred to

the full court. No order of reinstatement after an order of disbarment shall take

effect except upon a majority vote of the district judges of the full court.

Effective January 1, 2015.

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RULE 83.6.11 PUBLIC ACCESS AND CONFIDENTIALITY

(a) Matters Presumed to Be Public. All matters before the court concerning alleged attorney

misconduct and discipline are presumptively public.

(b) Exceptions. The court, on its own motion or on request, may redact or protect the following

types of matters and file them under seal.

(1) Victim or Third-Party Privacy. Any matters reasonably necessary to protect the

privacy of a victim of attorney misconduct or of any innocent third party.

(2) Privilege. Any matters reasonably necessary to protect information subject to a

valid attorney-client or other privilege.

(3) Grand Jury or Criminal Investigation. Any matters reasonably necessary to

protect information subject to grand jury secrecy or to protect an ongoing criminal

investigation.

(4) Personal Privacy. Any matters of a highly personal or private nature; provided,

however, that if the personal or private matter was the basis, at least in part, of a

disciplinary action, a decision not to take disciplinary action, or a decision to

mitigate discipline, public disclosure is required in sufficient detail to permit an

informed public understanding of the court’s decision.

(5) Exceptional Circumstances. Any other matters that, due to exceptional

circumstances presented in the case, should not be disclosed in the interests of

justice.

Any such redaction or protective order shall be in writing or made on the record and shall

state the reasons for the order. The court, in fashioning such an order, shall give due regard

to the need to protect the public from further attorney misconduct and to maintain public

confidence in the integrity of the court.

Effective January 1, 2015.

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RULE 106.1 GRAND JURIES

(a) Confidentiality of Names. The names of any jurors drawn from the qualified jury wheel

and selected to sit on a grand jury shall be kept confidential and not made public or

disclosed to any person not employed by the court, except as otherwise authorized by a

court order in an individual case pursuant to 28 U.S.C. § 1867(f).

(b) Sealing of Documents. All subpoenas, motions, pleadings, and other documents filed with

the clerk concerning or contesting grand jury proceedings shall be sealed and impounded

unless otherwise ordered by the court based upon a showing of particularized need.

Impoundment under this rule shall not preclude necessary service of papers on opposing

parties or their counsel nor prohibit the clerk from providing copies of papers to the party

or counsel filing same.

Effective September 1, 1990.

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RULE 106.2 RELEASE OF INFORMATION BY COURTHOUSE PERSONNEL IN

CRIMINAL CASES

All court supporting personnel, including the United States Marshal, Deputy United States

Marshals, the clerk of court, deputy clerks, probation officers, assistant probation officers, bailiffs,

court reporters, and employees or subcontractors retained by the court-appointed official reporters,

judges' secretaries, law clerks, student assistants, and other employees are prohibited from

disclosing information relating to a pending grand jury proceeding or criminal case that is not part

of the public records of the court without authorization by the court. Divulging information

concerning in camera hearings is also prohibited.

Effective September 1, 1990.

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RULE 112.1 MOTION PRACTICE

Unless otherwise specified in these local rules or by order of the court, motion practice in

criminal cases shall be subject to L.R.7.1.

Adopted September 8, 1998; effective December 1, 1998; February 1, 2012.

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RULE 112.2 EXCLUDABLE DELAY PURSUANT TO THE SPEEDY TRIAL ACT

(a) Excludable Delay Generally. The court, having found that a fair and prompt resolution of

criminal cases is best served by minimizing formal motion practices and establishing the

system of discovery set forth in these local rules, has determined that the following periods

of time may be excluded, under 18 U.S.C. §§ 3161(h)(1)(D) & (H) and (h)(7)(A), to serve

the ends of justice in order to accomplish such purposes:

(1) the period from arraignment to the initial status conference conducted under L.R.

116.5(a), during which period the parties shall produce the automatic discovery

required under L.R. 116.1(b) and (c) and develop their discovery plans, and

defendants shall consider the need for pretrial motions under Fed. R. Crim. P. 12;

(2) no more than 14 days from the filing of a copy of a letter requesting discovery under

L.R. 116.3(a);

(3) no more than 14 days from the date on which a written response to a letter

requesting discovery under L.R. 116.3(a) is due to the filing of a motion seeking

the discovery, provided that the party receiving the discovery request either refuses

to furnish the requested discovery or fails to respond to the request, and the party

requesting the discovery actually files a motion seeking discovery.

(b) Requirement of Order of Excludable Delay. The time periods indicated above will not

be automatically excluded. All such periods of excludable delay must be included in an

order issued by the judicial officer.

excluding additional periods of time as appropriate under 18 U.S.C. §3161(h).

(d) Procedure under Waiver of Automatic Discovery. If a defendant files the waiver

provided under L.R. 116.1(b), all periods of excludable delay shall be calculated pursuant

to the Speedy Trial Act without regard to the provisions of this local rule.

Adopted September 8, 1998; effective December 1, 1998; amended effective February 1, 2012.

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RULE 112.4 CORPORATE DISCLOSURE STATEMENT

Adopted December 4, 2000; effective January 1, 2001; amended effective February 1, 2012;

deleted effective [ ].

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RULE 116.1 DISCOVERY IN CRIMINAL CASES

(a) Discovery Alternatives.

(1) Automatic Discovery. In all felony cases and Class A misdemeanor cases (except

those within the Central Violations Bureau), unless a defendant waives automatic

discovery in accordance with subsection (b) below, all discoverable material and

information in the possession, custody, or control of the government and the

defendant, the existence of which is known, or by the exercise of due diligence may

become known, to the attorneys for those parties, must be disclosed to the opposing

party without formal motion practice at the times and under the automatic

procedures specified in these local rules.

(2) Non-Automatic Discovery. In petty offense cases and Class A misdemeanor cases

within the Central Violations Bureau, and in cases where the defendant waives

automatic discovery in accordance with subsection (b) below, the defendant must

obtain discovery directly through the provisions of the Federal Rules of Criminal

Procedure in the manner provided under L.R. 116.3.

(b) Waiver. A defendant shall be deemed to have requested all the discovery authorized by

Fed. R. Crim. P. 16(a)(1) unless that defendant files a Waiver of Request for Disclosure

(the “Waiver”) at arraignment or within such additional time as the court may allow upon

motion made by the defendant at arraignment. If the Waiver is not timely filed, the

defendant shall be subject to the correlative reciprocal discovery obligations of Fed. R.

Crim. P. 16(b) and this rule and shall be deemed to have consented to the exclusion of time

for Speedy Trial Act purposes as provided in L.R. 112.2(a). If the court allows the

defendant additional time in which to file the Waiver, and no Waiver is timely filed, the

28-day period for providing automatic discovery established in subsection (c) of this rule

shall begin to run on the last date allowed for filing the Waiver, and all dates for filing

discovery letters and motions established in L.R. 116.3 shall be adjusted accordingly.

(1) Following Arraignment. Unless a defendant has filed the Waiver in accordance

with subsection (b) above, within 28 days of arraignment (except a Rule 11

arraignment on an information), absent a contrary schedule established by the court

pursuant to subsections (e) and (f) below, the government must produce to the

defendant:

(A) Fed. R. Crim. P. 16 Materials. All of the information to which the

defendant

is entitled under Fed. R. Crim. P. 16(a)(1).

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(B) Search Materials. A copy of any search warrant (with supporting

application, affidavit, and return) and a written description of any consent

search or warrantless search (including an inventory of items seized):

(i) that resulted in the seizure of evidence or led to the discovery of

evidence that the government intends to use in its case-in-

chief; or

(ii) that was obtained for or conducted of the defendant’s property,

residence, place of business, or person, in connection with

investigation of the charges contained in the indictment.

(i) a written description of any interception of wire, oral, or electronic

communications as defined in 18 U.S.C. § 2510, relating to the

charges in the indictment in which the defendant was intercepted

and a statement whether the government intends to use any such

communications as evidence in its case-in-chief; and

(ii) a copy of any application for authorization to intercept such

communications relating to the charges contained in the indictment

in which the defendant was named as an interceptee or pursuant to

which the defendant was intercepted, together with all supporting

affidavits, the court orders authorizing such interceptions, and the

court orders directing the sealing of intercepted communications

under 18 U.S.C. § 2518.

(D) Consensual Interceptions.

(i) a written description of any interception of wire, oral, or electronic

communications, relating to the charges contained in the indictment,

made with the consent of one of the parties to the communication

(“consensual interceptions”), in which the defendant was

intercepted or which the government intends to use in its case-in

chief.

(ii) nothing in this subsection is intended to determine the

circumstances, if any, under which, or the time at which, the attorney

for the government must review and produce communications of a

defendant in custody consensually recorded by the institution in

which that defendant is held.

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(E) Unindicted Coconspirators. As to each conspiracy charged in the

indictment, the name of any person asserted to be a known unindicted

coconspirator. If subsequent litigation requires that the name of any such

unindicted coconspirator be referenced in any filing directly with the

court, that information must be redacted from any public filing and be

filed under L.R. 7.2 pending further order of the court.

(F) Identifications.

(i) A written statement whether the defendant was a subject of an

investigative identification procedure used with a witness the

government anticipates calling in its case-in-chief involving a

lineup, show-up, photospread or other display of an image of the

defendant.

(ii) If the defendant was a subject of such a procedure, a copy of any,

recording, photospread, image or other tangible evidence reflecting,

used in or memorializing the identification procedure.

(2) Exculpatory Information. The timing and substance of the disclosure of

exculpatory evidence is governed by L.R. 116.2.

(d) Automatic Discovery Provided by the Defendant. Unless a defendant has filed the

Waiver in accordance with subsection (b) within 28 days after arraignment (except a Rule

11 arraignment on an information), absent a contrary schedule established by the court

pursuant to subsections (e) and (f), the defendant must produce to the government all

material described in Fed. R. Crim. P. 16(b)(1)(A) and (B).

(e) Deadline for Automatic Discovery. At arraignment, the judicial officer shall set a date for

completion of automatic discovery in accordance with this rule. The date may be extended

on motion or request of any party.

(f) Alternative Discovery Schedule. The parties shall inform the court at arraignment, or as

soon as practicable thereafter, of any issues that might require an alternative discovery

schedule. Requests for an alternative discovery schedule in complex cases shall be liberally

granted. The court shall not allow an alternative discovery schedule without providing a

date for the completion of automatic discovery.

(g) Non-Automatic Discovery Provided by the Parties. If the defendant files the Waiver, all

requests for discovery and reciprocal discovery, and all responses to such requests, shall be

made in writing and filed with the court. Unless a greater or lesser amount of time is

established by the court upon motion and for good cause shown, within 28 days of receiving

a letter or motion requesting discovery, a party shall produce all discovery responsive to

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those requests to which it does not object and shall file a written response to those requests

(if any) to which it does object, explaining the basis for its objections.

Adopted September 1, 1990; amended effective December 1, 1998; amended effective February

1, 2012.

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RULE 116.2 DISCLOSURE OF EXCULPATORY EVIDENCE

(a) Definition. Exculpatory information is information that is material and favorable to the

accused and includes, but is not necessarily limited to, information that tends to:

(1) cast doubt on defendant’s guilt as to any essential element in any count in the

indictment or information;

(2) cast doubt on the admissibility of evidence that the government anticipates using in

its case-in-chief, that might be subject to a motion to suppress or exclude, which

would, if allowed, be appealable pursuant to 18 U.S.C. § 3731;

(3) cast doubt on the credibility or accuracy of any evidence that the government

anticipates using in its case-in-chief; or

(4) diminish the degree of the defendant’s culpability or the defendant’s Offense Level

under the United States Sentencing Guidelines.

(b) Timing of Disclosure by the Government. Unless the government invokes the declination

procedure under L.R. 116.6, the government must produce to the defendant exculpatory

information in accordance with the following schedule:

(1) within the time period designated in L.R. 116.1(c)(1), or by any alternative date

established by the court:

(A) information that would tend directly to negate the defendant’s guilt

concerning any count in the indictment or information;

(B) information that would cast doubt on the admissibility of evidence that the

government anticipates using in its case-in-chief and that could be subject

to a motion to suppress or exclude, which would, if allowed, be appealable

pursuant to 18 U.S.C. § 3731; and

any witness whom the government anticipates calling in its case-in-chief,

identifying by name each such witness and each promise, reward, or

inducement, and a copy of any promise, reward, or inducement reduced to

writing

(D) a copy of any criminal record of any witness whom the government

anticipates calling in its case-in-chief, identifying by name each such

witness;

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(E) a written description of any criminal cases pending against any witness

whom the government anticipates calling in its case-in-chief, identifying by

name each such witness.

(F) a written description of the failure of any percipient witness identified by

name to make a positive identification of a defendant, if any identification

procedure has been held with such a witness with respect to the crime at

issue.

(2) Not later than 21 days before the trial date established by the judicial officer who

will preside at the trial:

(A) any information that tends to cast doubt on the credibility or accuracy of any

witness or evidence that the government anticipates calling or offering in its

case-in-chief,

(B) any inconsistent statement, or a description of such a statement, made orally

or in writing by any witness whom the government anticipates calling in its

case-in-chief, regarding the alleged criminal conduct of the defendant;

by any person, that is inconsistent with any statement made orally or in

writing by any witness the government anticipates calling in its case-inchief,

regarding the alleged criminal conduct of the defendant;

(D) information reflecting bias or prejudice against the defendant by any

witness whom the government anticipates calling in its case-in-chief;

(E) a written description of any prosecutable federal offense known by the

government to have been committed by any witness whom the government

anticipates calling in its case-in-chief;

(F) a written description of any conduct that may be admissible under Fed. R.

Evid. 608(b) known by the government to have been committed by a

witness whom the government anticipates calling in its case-in-chief; and

(G) information known to the government of any mental or physical impairment

of any witness whom the government anticipates calling in its case-in-chief,

that may cast doubt on the ability of that witness to testify accurately or

truthfully at trial as to any relevant event.

(3) No later than the close of the defendant’s case: exculpatory information regarding

any witness or evidence that the government intends to use in rebuttal.

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(4) Before any plea or to the submission by the defendant of any objections to the

PreSentence Report, whichever first occurs: a written summary of any information

in the government’s possession that tends to diminish the degree of the defendant’s

culpability or the defendant’s Offense Level under the United States Sentencing

Guidelines.

(5) If an item of exculpatory information can reasonably be deemed to fall into more

than one of the foregoing categories, it shall be deemed for purposes of determining

when it must be produced to fall into the category which requires the earliest

production.

Adopted September 8, 1998; effective December 1, 1998; amended effective February 1, 2012.

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RULE 116.3 DISCOVERY MOTION PRACTICE

(a) Letter Request for Discovery. Within 14 days of the completion of automatic discovery,

any party by letter to the opposing party may request additional discovery. The opposing

party shall reply in writing to the requests contained in such letter, no later than 14 days

after its receipt, stating whether that party agrees or does not agree to furnish the requested

discovery and, if that party agrees, when the party will furnish the requested discovery. A

copy of the discovery request letter and any response must also be filed with the clerk’s

office.

(b) Agreement to Provide Discovery. If a party agrees in writing to provide the requested

discovery, the agreement shall be enforceable to the same extent as a court order requiring

the agreed-upon disclosure.

information, that party must provide a written statement of the basis for its position.

(d) No Need to Request Automatic Discovery. A defendant participating in automatic

discovery should not request information expressly required to be produced under L.R.

116.1, because all such information is required to be produced automatically in any event.

(e) No Motion before Response to Request. Except in an emergency, no discovery motion,

or request for a bill of particulars, shall be filed until the opposing party has declined in

writing to provide the requested discovery or has failed to respond in writing within 14

days of receipt of a written discovery request.

(f) No Motion before Conference with Opponent. Except in an emergency, no discovery

motion, or request for a bill of particulars, shall be filed before, the moving party has

conferred, or attempted in good faith to confer, with opposing counsel to attempt to

eliminate or narrow the areas of disagreement. In the motion or request, the moving party

shall certify that a good faith attempt was made to eliminate or narrow the issues raised in

the motion through a conference with opposing counsel or that a good faith attempt to

comply with the requirement was precluded by the opposing party’s unwillingness or

inability to confer.

(g) Timing of Motion. Any discovery motion shall be filed within 14 days of receipt of the

opposing party’s written reply to the letter requesting discovery described in subsection (a)

or within 14 days of the passage of the period within which the opposing party has the

obligation to reply pursuant to subsection (a). The discovery motion shall state with

particularity each request for discovery, followed by a concise statement of the moving

party’s position with respect to such request, including citations of authority.

(h) Multi-Defendant Cases. In multi-defendant cases, except with leave of court, the

defendant parties must confer and, to the maximum extent possible in view of any

141

potentially differing positions of the defendants, consolidate their written requests to the

government for any discovery. If a discovery motion is to be filed, the defendant parties

must endeavor to the maximum extent possible to file a single consolidated motion. Each

defendant need not join in every written request submitted to the government or filed in a

consolidated motion, but all defense requests and motions, whether or not joined in by each

defendant must to the maximum extent possible be contained within a single document or

filing.

(i) Timing of Response to Motions. The opposing party must file its response to all discovery

motions within 14 days of receipt. In its response, the opposing party, as to each request,

shall make a concise statement of the opposing party’s basis for opposing that request,

including citations to authority.

(j) Subsequent Requests. The procedure set forth in this rule shall apply to any subsequent

requests for discovery. When filing a discovery motion that is based on a subsequent

discovery request, the moving party must additionally certify that the discovery request

resulting in the motion was prompted by information not known, or issues not reasonably

foreseeable, to the moving party before the deadline for discovery motions, or that the delay

in making the request was for other good cause, which the moving party must describe with

particularity.

Adopted September 8, 1998; effective December 1, 1998; amended effective February 1, 2012.

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RULE 116.4 SPECIAL PROCEDURES FOR AUDIO AND VIDEO RECORDINGS

(a) Availability of Audio and Video Recordings

(1) The government must provide at least one copy of all audio and video recordings

in its possession that are discoverable for examination and review by the defendant

parties.

(2) If a defendant requests additional copies, the government must make arrangements

to provide or to enable that defendant to make such copies at that defendant’s

expense.

(3) If in a multidefendant case any defendant is in custody, the government must insure

that an extra copy of all audio and video recordings is available for review by the

defendant(s) in custody.

(b) Composite Recordings, Preliminary Transcripts and Final Transcripts. The parties

must make arrangements promptly to provide or make available for inspection and

copying by opposing counsel all:

(1) Composite electronic surveillance or consensual interception recordings to be used

in that party’s case-in-chief at trial, once prepared.

(2) Preliminary transcripts, once prepared. A preliminary transcript may not be used at

trial or in any hearing on a pretrial motion without the prior approval of the court

based on a finding that the preliminary transcript is accurate in material respects

and it is in the interests of the administration of justice to use it.

(3) Final transcripts, once prepared.

(4) Nothing in this rule shall be construed to require a party to prepare composite

recordings, or preliminary or final transcripts, of any recording.

Adopted September 8, 1998; effective December 1, 1998; amended effective February 1, 2012.

143

RULE 116.5 STATUS CONFERENCES AND STATUS REPORTS PROCEDURE

(a) Initial Status Conference. On or about the 14th day following the date scheduled for the

completion of automatic discovery, the magistrate judge shall convene an initial status

conference with the attorneys for the parties who will conduct the trial. Unless otherwise

ordered by the court, counsel shall confer and file a joint memorandum no later than 7 days

before the initial status conference. The joint memorandum must include the following

issues and any other issues relevant to the progress of the case, which counsel must be

prepared to discuss at the conference:

(1) the status of automatic discovery and any pending discovery requests;

(2) the timing of any additional discovery to be produced;

(3) the timing of any additional discovery requests;

(4) whether any protective orders addressing the disclosure or dissemination of

sensitive information concerning victims, witnesses, defendants, or law

enforcement sources or techniques may be appropriate;

(5) the timing of any pretrial motions under Fed. R. Crim. P. 12(b);

(6) the timing of expert witness disclosures;

(7) periods of excludable delay under the Speedy Trial Act;

(8) the timing of an interim status conference or final status conference, as the case

may require.

If the defendant indicates an intention to change his or her plea to guilty, or if discovery is

substantially complete and the only issues that remain or are anticipated are ones

appropriately resolved by the district judge, the magistrate judge may, at the parties’

request, treat the initial status conference as a final status conference under subsection (c)

of this rule and transfer the case to the district judge along with the final status report

required by subsection (d). Otherwise, the magistrate judge shall issue a scheduling order

and an order of excludable delay that reflect the deadlines and periods of excludable delay

established at the initial status conference.

(b) Interim Status Conference. At the initial status conference, unless the magistrate judge

decides to transfer the case to the district judge under subsection (a), the magistrate judge

shall schedule an interim status conference or a final status conference, as needed, giving

due regard to the complexity of the case and the period of time that the parties expect will

be required to complete discovery and pretrial motions.

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Unless otherwise ordered by the court, counsel shall confer and file a joint memorandum

no later than 7 days before the interim status conference. The joint memorandum must

address the following issues, and any other issues relevant to the progress of the case, which

counsel must be prepared to discuss at the conference:

(1) the status of automatic discovery and any pending discovery requests;

(2) the timing of any additional discovery to be produced;

(3) the timing of any additional discovery requests;

(4) whether any protective orders addressing the disclosure or dissemination of

sensitive information concerning victims, witnesses, defendants, or law

enforcement sources or techniques may be appropriate;

(5) the status of any pretrial motions under Fed. R. Crim. P. 12(b);

(6) the timing of expert witness disclosures;

(7) defenses of insanity, public authority, or alibi;

(8) periods of excludable delay under the Speedy Trial Act;

(9) the status of any plea discussions and likelihood and estimated length of trial;

(10) the timing of the final status conference or any further interim status conference.

The magistrate judge may waive the interim status conference if the parties request such a

waiver and the magistrate judge determines that the information in the joint memorandum

obviates the need for the conference.

If the defendant indicates an intention to change his or her plea to guilty, or if discovery is

complete and the only issues that remain or are anticipated are ones appropriately resolved

by the district judge, the magistrate judge may, at the parties’ request, treat an interim status

conference as a final status conference under subsection (c) and transfer the case to the

district judge along with the final status report required by subsection (d). Otherwise, the

magistrate judge shall issue a scheduling order and an order of excludable delay that reflect

the deadlines and periods of excludable delay established at the interim status conference

or in the parties’ joint memorandum, as the case may be.

by a district judge, before the magistrate judge issues the final status report required by

subsection (d) of this rule, the magistrate judge shall, if necessary, convene a final status

145

conference with the attorneys who will conduct the trial. Counsel shall confer and file a

joint memorandum no later than 7 days before the final status conference. The joint

memorandum must address the following issues, and any other issues relevant to the

progress of the case, which counsel must be prepared to discuss at the conference:

(1) whether the defendant requests that the case be transferred to the district judge for

a Rule 11 hearing;

(2) whether, alternatively, the parties move for a pretrial conference before the district

judge in order to resolve pretrial motions (if any) and schedule a trial date and, if

so:

(A) whether the parties have produced all discovery they intend to produce and,

if not, the identity of any additional discovery and its expected production

date;

(B) whether all discovery requests and motions have been made and resolved

and, if not, the nature of the outstanding requests or motions and the date

they are expected to be resolved;

responded to and, if not, the motions that are expected to be filed and the

date they will ready for resolution;

(D) whether the court should order any additional periods of excludable delay,

the number of non-excludable days remaining, and whether any matter is

currently tolling the running of the time period under the Speedy Trial Act;

and

(E) the estimated number of trial days; and

(3) any other matters specific to the particular case that would assist the district judge

upon transfer of the case from the magistrate judge.

If the joint memorandum permits the magistrate judge to prepare the final status report

without the necessity of an additional status conference, the magistrate judge may waive

the final status conference and issue an order transferring the case to the district judge.

(d) Final Status Report. After the final status conference, or upon receipt of the joint final

status memorandum if no conference is deemed necessary, the magistrate judge shall

transfer the case to the district judge along with a final status report that incorporates the

information provided by the parties at the final status conference or in the joint final status

memorandum, as the case may be.

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Adopted September 8, 1998; effective December 1, 1998; amended effective December 1, 2009;

February 1, 2012.

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RULE 116.6 DECLINATION OF DISCLOSURE AND PROTECTIVE ORDERS

(a) Declination. If in the judgment of a party it would be detrimental to the interests of justice

to make any of the disclosures required by these rules, such disclosures may be declined,

before or at the time that disclosure is due, and the opposing party advised in writing, with

a copy filed with the clerk, of the specific matters on which disclosure is declined and the

reasons for declining. If the opposing party seeks to challenge the declination, that party

shall file a motion to compel that states the reasons why disclosure is sought. Upon the

filing of such motion, except to the extent otherwise provided by law, the burden shall be

on the party declining disclosure to demonstrate, by affidavit and supporting memorandum

citing legal authority, why such disclosure should not be made. The declining party may

file its submissions in support of declination under seal pursuant to L.R. 7.2 for the court's

in camera consideration. Unless otherwise ordered by the court, a redacted version of each

such submission shall be served on the moving party, which may reply.

(b) Ex Parte Motions for Protective Orders. This rule does not preclude any party from

moving under L.R. 7.2 and ex parte (that is, without serving the opposing party) for leave

to file an ex parte motion for a protective order with respect to any discovery matter. Nor

does this rule limit the court's power to accept or reject an ex parte motion or to decide such

a motion in any manner it deems appropriate.

Adopted September 8, 1998; effective December 1, 1998; amended effective February 1, 2012.

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RULE 116.7 DUTY TO SUPPLEMENT

The duties established by these local rules are continuing. Each party is under a duty, when

it learns that a prior disclosure was in some respect inaccurate or incomplete to supplement

promptly any disclosure required by these local rules or by the Federal Rules of Criminal

Procedure.

Adopted September 8, 1998; effective December 1, 1998.

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RULE 116.8 NOTIFICATION TO RELEVANT LAW ENFORCEMENT AGENCIES OF

DISCOVERY OBLIGATIONS

The attorney for the government shall inform all federal, state, and local law enforcement

agencies formally participating in the criminal investigation that resulted in the case of the

discovery obligations set forth in these local rules and obtain any information subject to disclosure

from each such agency.

Adopted September 8, 1998; effective December 1, 1998.

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RULE 116.9 PRESERVATION OF NOTES

(a) General Rule. All contemporaneous notes, memoranda, statements, reports, surveillance

logs, recordings, and other documents (regardless of the medium in which they are stored)

memorializing matters relevant to the charges contained in the indictment made by or in

the custody of any law enforcement officer whose agency at the time was formally

participating in an investigation intended, in whole or in part, to result in a federal

indictment shall be preserved until the entry of judgment unless otherwise ordered by the

court.

(b) Rough Drafts. These rules do not require the preservation of rough drafts of reports after

a subsequent draft of final report is prepared.

government agency’s established procedure for the retention and disposal of documents

when the agency does not reasonably anticipate a criminal prosecution.

Adopted September 8, 1998; effective December 1, 1998; amended effective February 1, 2012.

151

RULE 116.10 REQUIREMENTS OF TABLE OF CONTENTS FOR VOLUMINOUS

DISCOVERY

Any party producing more than 1,000 pages of discovery in a criminal case shall provide a

table of contents that describes, in general terms, the type and origin of the documents (for example,

“bank records from Sovereign Bank for John Smith;” “grand jury testimony of Officer Jones”) and

the location of the documents so described within the larger set (for example, by Bates number).

Adopted January 3, 2012; effective February 1, 2012.

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RULE 117.1 PRETRIAL CONFERENCES

(a) Initial Pretrial Conference. Within 14 days of receiving the magistrate judge’s final status

report, or at the earliest practicable time before trial consistent with the Speedy Trial Act,

the district judge to whom the case is assigned must conduct a Rule 11 hearing, if the

defendant has requested one, or else must convene an initial pretrial conference, which

counsel who will conduct the trial must attend. At the initial pretrial conference the district

judge must:

(1) determine the number of days remaining before trial must begin under the Speedy

Trial Act;

(2) confirm that all discovery has been produced, all discovery disputes have been

resolved, and all pretrial motions under Fed. R. Crim. P. 12(b) have been filed and

briefed, and schedule any necessary hearings or additional briefing on any pretrial

motions under Fed. R. Crim. P. 12(b);

(3) establish a reliable trial date, which should not, except upon motion of the

defendant, be less than 30 days after any evidentiary hearing on a pretrial motion

under Fed. R. Crim. P. 12(b);

(4) unless the declination procedure provided by L.R. 116.6 has previously been

invoked, order the government to disclose to the defendant no later than 21 days

before the trial date:

(A) the exculpatory information identified in L.R. 116.2 (b)(2); and

(B) a general description (including the approximate date, time and place) of

any crime, wrong, or act the government proposes to use pursuant to Fed.

R. Evid. 404(b);

(5) determine whether the parties have furnished statements, as defined by 18 U.S.C. §

3500(e) and Fed. R. Crim. P. 26.2(f), of witnesses they intend to call in their cases-

in-chief and, if not, when they propose to do so;

(6) determine whether any party objects to complying with the presumptive timing

directives of subsections (a)(8) and (a)(9) for the disclosure of witnesses and

identification of exhibits and materials. If any party expresses an objection, the

court may decide the issues(s) presented at the initial pretrial conference or may

order briefing and/or later argument on such issue(s);

(7) establish a schedule for the filing and briefing of possible motions in limine and for

the filing of proposed voir dire questions, proposed jury instructions, and, if

appropriate, trial briefs;

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(8) unless an objection has been made pursuant to subsection(a)(6), order that at least

7 days before the trial date the government must:

(A) provide the defendant with the names and addresses of witnesses the

government intends to call at trial (i) in its case-in-chief, and (ii) in its

rebuttal to the defendant’s alibi defense (if the defendant serves a L.R.

12.1(a)(2) notice). If the government subsequently forms an intent to call

any other witness, the government shall promptly notify the defendant of

the names and address of that prospective witness. The government shall

not, however, provide the defendant the addresses of any victims whom it

intends to call in its rebuttal to the defendant’s alibi defense (if the defendant

serves a L.R. 12.1(a)(2) notice) except pursuant to subsection (a)(9).

(B) provide the defendant with copies of the exhibits and a premarked list of the

exhibits the government intends to use in its case-in-chief. If the government

subsequently decides to offer any additional exhibit in its casein-chief, the

government shall promptly provide the opposing party with a copy of the

exhibit and a supplemental exhibit list;

(9) if the defendant establishes a need for the address of a victim the government

intends to call as a witness in its rebuttal to the defendant’s alibi defense (if the

defendant serves a L.R. 12.1(a)(2) notice), the court may:

(A) order the government to provide the information in writing to the defendant

or the defendant’s attorney; or

(B) fashion a reasonable procedure that allows preparation of the defense and

also protects the victim’s interests.

(10) unless an objection has been made pursuant to subsection (a)(6), order that at least

7 days before the trial the defendant must provide the government with witness and

exhibit identification and materials to the same extent the government is obligated

to do so under subsection (a)(8);

(11) determine whether the parties will stipulate to any facts that are not in dispute;

(12) establish a date for a final pretrial conference, to be held not more than 7 days before

the trial date, to resolve any matters that must be decided before trial, unless all

parties advise the court that such a conference is not necessary and the district judge

concurs.

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(b) Special Orders. The district judge who will preside at trial may, upon motion of a party

or on the judge’s own initiative, modify any of the requirements of subsection (a) of this

rule in the interests of justice.

reliable trial date cannot be established, or if a trial date is established but later continued

by the court, the court shall schedule an interim status conference at which the district

judge, in consultation with the parties, must determine the time remaining under the Speedy

Trial Act before which trial must begin and must adjust, as needed, the scheduling dates

called for by subsections (a)(4)-(12).

Adopted September 8, 1998; effective December 1, 1998; amended effective December 1, 2009;

February 1, 2012.

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RULE 117.2 SUBPOENAS IN CRIMINAL CASES INVOLVING COURT-APPOINTED

COUNSEL

(a) Issuance of Subpoenas. In any criminal matter in which the defendant is represented by

the Federal Public Defender or other court-appointed counsel, upon request of such

counsel the clerk shall issue a subpoena for hearing or trial in blank, signed and sealed, to

counsel without the necessity for an individual court order.

(b) Service of Subpoenas. Upon presentation of such a subpoena, the United States Marshal

shall serve it in the same manner as in other criminal cases pursuant to Fed. R. Crim. P.

17(b).

are issued upon approval of the court. The United States Marshal shall pay the process

costs and fees of any witness subpoenaed pursuant to this rule as provided in Fed. R.

Crim. P. 17(b) and 28 U.S.C. § 1825.

(d) Subpoenas in Certain Hearings. A subpoena may not be issued under this rule to

compel the attendance of a witness in

(1) a preliminary hearing pursuant to Fed. R. Crim. P. 5.1 or Rule 32.1(b)(1);

(2) a detention hearing held pursuant to 18 U.S.C. § 3142(f); or

(3) a hearing concerning the revocation of release as provided in 18 U.S.C. § 3148,

without first seeking leave from the presiding judicial officer.

Adopted January 3, 2012; effective February 1, 2012.

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RULE 118.1 EFFECTIVE DATE

These local rules shall become effective on December 1, 1998. They shall, except as

applicable time periods may have run, govern all actions pending or commenced after the effective

date. Where justice so requires, proceedings in cases on the effective date shall be governed by the

practice of the court before the adoption of these local rules.

Adopted September 8, 1998; effective December 1, 1998.

157

RULE 200 RENUMBERED AND AMENDED--SEE RULE 203

Effective September 1, 1990; amended effective January 2, 1995.

158

RULE 201 REFERENCE TO BANKRUPTCY COURT

Pursuant to 28 U.S.C. § 157(a), any and all cases arising under Title 11 United States Code

and any and all proceedings arising under Title 11 or arising in or related to a case under Title 11

shall be referred to the judges of the bankruptcy court for the District of Massachusetts.

Adopted effective January 2, 1995.

159

RULE 202 BANKRUPTCY COURT JURY TRIALS

Pursuant to 28 U.S.C. § 157(e), the judges of the bankruptcy court for the District of

Massachusetts are specially designated to conduct jury trials with the express consent of the parties

in any proceeding which may be heard by a bankruptcy judge to which a right to jury trial applies.

Adopted effective January 2, 1995.

160

RULE 203 BANKRUPTCY APPEALS

Rule 203.8001. Scope of Rules; Method of Transmission.

(a) General Scope. Part VIII of the Federal Rules of Bankruptcy Procedure (Fed. R. Bankr.

P.) governs appeals of bankruptcy court orders to the United States District Court. Pursuant to

Fed. R. Civ. P. 83 and Fed. R. Bankr. P. 8026, this rule and its subsections govern the practice of

bankruptcy appeals before United States District Court for the District of Massachusetts. These

rules are not intended to restrict the District

Court

discretion as to any aspect of an appeal from

a bankruptcy

court

order. The bankruptcy court clerk shall enclose a copy of these rules with

the notice of appeal given to each party appealing to the District Court in accordance with Fed.

R. Bankr. P. 8003(c); provided, however, that failure of the clerk to enclose a copy of this rule

shall not suspend its operation.

(b) Method of Transmitting Documents. LR, D. Mass.5.4, Filing and Service By Electronic

Means, shall apply to bankruptcy appeals to the District Court, unless otherwise ordered by the

United States District Judge assigned to the appeal. Pro se parties shall be exempt from filing

documents electronically. The District Court clerk is authorized to consider a request to accept

documents filed by hand in emergency circumstances. If the District Court clerk authorizes such

service, the documents shall be served on all interested parties within 24 hours after filing in the

method directed by the District Court clerk.

Rule 203.8003. Appeal as of Right.

(a) Filing the Notice of Appeal. A notice of appeal shall conform to Official Bankruptcy

Form 17A and shall be filed in the bankruptcy court with the required filing fee. In addition, the

appellant shall include the names and addresses of all parties to the judgment and the names,

addresses, telephone numbers, and email addresses of their attorneys, if any. In the event an

appellant fails to timely file a notice of appeal or an appellant fails to pay the filing fee within 14

days after filing the notice of appeal, or within 14 days after denial of a motion to waive the filing

fee, the bankruptcy court is authorized to dismiss the appeal.

(b) Transmitting the Appeal. Upon filing of a notice of appeal with a statement of election

to the District Court, the bankruptcy court clerk shall promptly transmit the notice of appeal to

the District Court. If an appellee timely elects to have the District Court hear the appeal after it

has been transmitted to the Bankruptcy Appellate Panel (“BAP”), upon the filing of the election

with the BAP, the clerk of the BAP shall promptly transmit the appeal to the District Court.

Upon receipt of the notice of appeal, the District Court clerk shall immediately docket the

appeal.

bankruptcy court clerk shall promptly notify the District Court.

Rule 203.8004. Appeal by Leave—How Taken.

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(a) Notice of Appeal and Motion for Leave to Appeal. In any appeal from an interlocutory

order or decree of a bankruptcy court, a party must file with the notice of appeal a motion for leave

to appeal setting forth the facts, issues, and the reasons why leave to appeal should be

granted.

(b) Failure to File a Motion with a Notice of Appeal. If an appellant timely files a notice

of appeal under this rule, but does not file with the notice a motion for leave to appeal, the District

Court may order the appellant to file a motion for leave to appeal within 14 days or other

specified time, or may treat the notice of appeal as the motion for leave to appeal and either grant

or deny it.

Local Rule 203.8007. Stay Pending Appeal.

(a) Initial Motion in the Bankruptcy Court. Any motion for stay pending appeal shall be

presented promptly and shall be filed initially in the bankruptcy court. The motion for stay pending

appeal shall comply with the provisions of Fed. R. Bankr. P. 8007.

(b) Motion in the District Court. If the movant seeks immediate relief in the District Court

on a motion for stay pending appeal after denial of a motion for stay by the bankruptcy court, the

motion shall conform to Fed. R. Bankr. P. 8013(d).

accompanied by an appendix containing the following:

a. a copy of the bankruptcy court’s order denying the motion for stay; and

b. copies of any documents filed in the bankruptcy court relevant to the motion for

stay.

Local Rule 203.8008. Indicative Rulings.

(a) Relief Pending Appeal. In the event the parties have settled all issues in an appeal, they

shall file a joint notice of settlement with the District Court which shall contain a statement as to

whether the matter must be remanded to the bankruptcy court for consideration of a motion to

compromise under Fed. R. Bankr. P. 9019. The District Court shall remand the matter to the

bankruptcy court for further proceedings in the event the settlement or compromise requires

approval by the bankruptcy court under Fed. R. Bankr. P. 9019.

(b) Notice to the Court Where the Appeal is Pending. The parties to a settlement shall

promptly notify the District Court of the disposition in the bankruptcy court of any motion to

compromise that relates to an appeal and was the subject of a remand order.

Local Rule 203.8009. Record on Appeal.

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(a) Motion to Extend Time. A motion to extend any deadlines set forth in

Fed. R. Bankr. P. 8009 shall be filed in and determined by the bankruptcy court.

(b) Correcting or Modifying the Record. Any dispute relating to the

accuracy of the record must be determined by the bankruptcy court. A party who

seeks correction or modification of the record shall file a motion with the bankruptcy

court prior to the deadline for completing the record under Fed. R. Bankr. P. 8009.

Local Rule 203.8010. Completing and Transmitting the Record on Appeal.

(a) Bankruptcy Court Clerk’s Duties. It is the duty of the parties to designate the

record

on appeal in accordance with Fed. R. Bankr. P. 8009. The bankruptcy court clerk shall assemble

and transmit the record on appeal when it is complete, or send a notice to the District Court clerk

that the record is available electronically.

(b) Incomplete Record. If, after the expiration of the deadlines set forth in Fed. R.

Bankr. P. 8009, the record is incomplete, the bankruptcy court clerk shall transmit to the

District Court clerk a Certificate of Incomplete Record. Thereafter, the District Court may

dismiss the appeal or order the deficiency cured and upon completion of the record within the

period allowed by the District Court, the bankruptcy court clerk shall send the completed

record to the District Court clerk.

Local Rule 203.8013. Motions.

(a) Written Motion Required; Objections. Any motion shall be in writing and filed with

the District Court clerk and served on interested parties. Any objection to a motion shall be filed

and served within 7 days after the filing of the motion.

(b) Emergency Motions. Any motion seeking expedited or immediate relief shall contain

the word “emergency” in the title of the motion and shall comply with Fed. R. Bankr. P. 8012.

and legal grounds in support of dismissal. The District Court shall determine any motion to

dismiss an appeal, except that the bankruptcy court may determine a motion to dismiss an appeal

on the ground that it was untimely filed. Motions to dismiss an appeal on the grounds of lateness

shall be filed in the bankruptcy court. All other motions to dismiss an appeal shall be filed in and

determined by the District Court.

(d) Determination of Appeal. At any time, on motion of any appellant, any appellee, or sua

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sponte, the District Court may: (1) dismiss the appeal if it lacks appellate jurisdiction; (2) dismiss

the appeal, grant any other request for relief, or affirm and enforce the judgment, order, or decree

below if it appears that no substantial question is presented; or (3) reverse in the case of obvious

error.

Local Rule 203.8018. Filing and Serving Briefs.

(a) Time for Filing Briefs. The briefing schedule set forth by Fed. R. Bankr P. 8018 may be

altered only by order of the District Court. All briefs which contain statements regarding

background facts shall be supported by citation to the appendix, according to the page numbering

of the appendix. In the event a brief, appendix, or other document does not meet the

requirements of this rule or the Fed. R. Bankr. P., the District Court clerk has discretion to accept

or reject such document. If the District Court clerk does not timely receive appellant's brief, the

clerk shall forthwith provide the district judge to whom the appeal is assigned with a proposed

order for dismissal of the appeal.

Local Rule 203.8019. Oral Argument.

(a) Request for Oral Argument. In their briefs, the parties shall include a

statement setting forth each party’s position on oral argument and if oral argument is

requested. Oral argument may be waived upon the written stipulation of the parties.

(b) Scheduling of Oral Argument. Notwithstanding the request of the parties,

the District Judge retains discretion to determine whether oral argument shall be

scheduled.

Effective September 1, 1990 (as Rule 200); amended effective January 2, 1995; December 1,

2009; January 6, 2015; September 28, 2015.

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RULE 204 BANKRUPTCY COURT LOCAL RULES

Pursuant to Rule 9029(a) of the Federal Rules of Bankruptcy Procedure, the judges of the

bankruptcy court for the District of Massachusetts are authorized to make and amend rules of

practice and procedure as they may deem appropriate, subject to the requirements of Fed.R.Civ.P.

83. A certified copy of any rules and/or amendments as adopted by the judges of the bankruptcy

court, together with a copy of the notice and all comments received regarding the rule, shall be

provided to the Clerk of the District Court within 14 days of the date adopted. Once each year, the

judges of the district court will review all changes to the local rules of the bankruptcy court. If,

after review, the judges of the district court determine that modifications need to be made to any

rule, a report will be provided to the judges of the bankruptcy court by March 31.

Adopted May 6, 1997; effective August 1, 1997; amended effective September 15, 2006.

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RULE 205 DISCIPLINARY REFERRALS BY BANKRUPTCY JUDGES

A judge of the bankruptcy court for the District of Massachusetts is authorized as a judicial

officer to make referrals for disciplinary proceedings as provided under LR 83.6(5)(A).

Adopted May 6, 1997; effective August 1, 1997.

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RULE 206 CORE PROCEEDINGS REQUIRING FINAL ADJUDICATION BY THE

DISTRICT COURT

If a bankruptcy judge determines that entry of a final order or judgment by a bankruptcy

judge would not be consistent with Article III of the United States Constitution in a particular

proceeding referred under L.R. 201 and determined to be a core matter under 28 U.S.C. § 157, the

bankruptcy judge shall hear the proceeding and submit proposed findings of fact and conclusions

of law to the district court made in compliance with Fed. R. Civ. P. 52(a)(1) in the form of findings

and conclusions stated on the record or in an opinion or memorandum of decision.

The district judge shall make a de novo review upon the record or, after additional evidence,

of any portion of the bankruptcy judge’s findings of fact or conclusions of law to which specific

written objection has been made in accordance with the federal and local rules of bankruptcy

procedure. The district judge may accept, reject, or modify the proposed findings of fact or

conclusions of law, receive further evidence, or recommit the matter to the bankruptcy judge with

instructions.

The district court may treat any order or judgment of the bankruptcy court as proposed

findings of fact and conclusions of law in the event the district court concludes that the bankruptcy

judge could not have entered a final order or judgment consistent with Article III of the United

States Constitution.

Adopted June 5, 2012

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APPENDIX A FEE SCHEDULE (LOCAL RULE 4.5 SUPPLEMENT)

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APPENDIX B CIVIL COVER SHEET (JS44)

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APPENDIX C LOCAL CIVIL CATEGORY SHEET

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APPENDIX D NOTICE OF SCHEDULING CONFERENCE