Sealing Documents and Rule 42 Checklist
Notes on Sealing Documents:
Generally, documents filed with the appellate courts are available to the public. This includes the record on appeal, a party's brief, and anything appended to it. If a party wishes to keep documents confidential, it must take steps to ensure the confidentiality. The above sample stipulation, under section III(a), is one way to do so, but it is not necessarily the only way. As of 1 January 2019, Rule 42 now governs sealed items and identification numbers. Rule 42(a) states that "[i]tems sealed in the trial tribunal remain under seal in the appellate courts. When these items are filed with the appellate courts, counsel must attach a copy of the order, statute, or other legal authority that sealed the item below." N.C. R. App. P. 42(a). "If an item was not sealed in the trial tribunal or by operation of rule, then counsel may move the appellate court to seal that item." N.C. R. App. P. 42(c). Certain information must be kept confidential regardless of any effort to file documents under seal. For example, "[d]river license numbers, financial account numbers, social security numbers, and tax identification numbers must be excluded or redacted from all documents that are filed with the appellate courts unless the number is necessary to the disposition of the appeal." N.C. R. App. P. 42(e). Per Rule 42(d), documents filed with the appellate courts that are under seal must display at the top of the first page this notice:UNDER SEAL AND SUBJECT TO PUBLIC INSPECTION ONLY BY ORDER OF A COURT OF THE APPELLATE DIVISION
If the document under seal is included within another document, then this notice must also be displayed at the top of the first page of that other document."RULE 42 CHECKLIST FOR COUNSEL
FOR ALL FILINGS (RECORDS, EXHIBITS, BRIEFS, MOTIONS)
Protected by N.C. Rule of Appellate Procedure 42
[] Items sealed in the trial court (R. 42(a)) (attach copy of sealing order)
[] Automatically sealed by Rule: (R. 42(b))
[] Appeals in child welfare cases (GS 7B-1001)
[] Appeals in delinquency cases (GS 7B-2602)
[] Appeals cases of sexual offenses against minors (GS 7A-27)
[] Minors at time of offense, even if adults now
[] Appeals in these cases where right to appeal lost (PWC, etc)
[] When minors involved: use initials or pseudonyms (R. 42(b))
[] Information to be redacted by Rule: (R. 42(e))
[] Social Security Numbers (R. 42(e))
[] Financial Account Numbers (R. 42(e))
[] Tax ID Numbers (R. 42(e))
[] Drivers License or other identification numbers (R. 42(e))
Protected by Law (provide copy of statute or other authority sealing documents)
[] HIPAA (GS 122C-55)
[] Mental Health & Treatment Records (GS 122C-52).
[] Substance Abuse Treatment Records (42 USC § 290dd-2)
[] Trade secrets (GS 66-156; 18 USC § 1833(b)(1)(B))
[] Addresses when there is a DVPO (GS 15C-9)
[] Drug test results | [] Traffic tickets (driver license numbers) |
[] DNA/Paternity results | [] Loan applications |
[] Child support worksheets | [] Credit card statements |
[] Paystubs | [] Bank statements |
[] Equitable distribution worksheets | [] Adoptions |
[] Tax returns | [] Retirement plans |
IF CLERKS OR OTHER JUDICIAL PERSONNEL NOTICEUNREDACTED/CONFIDENTIAL INFORMATION:
[] Notify trial counsel of need to redact/remove/seal information
[] Remove from online access
IT IS NOT THE DUTY OF THE CLERKS OR OTHER JUDICIAL PERSONNEL TO PROTECT THIS INFORMATION!
Additional Laws Specifying Information That Must Be Kept Private:
- Chapter 115C contains a number of legal confidentiality requirements. Are they worth adding to the checklist? See GS 115C-150.15 (information about deaf and blind students), -174.13 (information about tests), -321 (information in personnel files)
- GS 7B-3001 requires a juveniles delinquency record and related documents be withheld from public inspection
- GS 7B-2901 requires all abuse, neglect, and dependency cases be withheld from public inspection