CRIMINAL CASES
Administrative Procedures
FOR FILING, SIGNING, AND VERIFYING PLEADINGS AND DOCUMENTS IN
THE DISTRICT COURT UNDER THE
CASE MANAGEMENT/ELECTRONIC CASE FILES SYSTEM
IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ALABAMA
ADMINISTRATIVE PROCEDURES FOR FILING, SIGNING, AND VERIFYING
PLEADINGS AND DOCUMENTS IN THE DISTRICT COURT UNDER THE CASE
MANAGEMENT/ELECTRONIC CASE FILES SYSTEM
IN CRIMINAL CASES
TABLE OF CONTENTS
I. THE CASE MANAGEMENT/ELECTRONIC CASE FILES SYSTEM…. ....................1
A. AUTHORIZATION ....................................................................................................1
B. DEFINITIONS AND INSTRUCTIONS.....................................................................1
C. TECHNICAL SPECIFICATIONS..............................................................................2
D. SYSTEM AVAILABILITY ........................................................................................3
E. SELECTION OF CASES ............................................................................................3
F. REGISTRATION ........................................................................................................4
G. LOGIN and PASSWORD ...........................................................................................6
II. ELECTRONIC FILING AND SERVICE OF DOCUMENTS ..........................................6
A. FILING ......................................................................................................................6
B. SERVICE ...................................................................................................................9
C. SIGNATURES AND AFFIDAVITS .........................................................................9
D. FEES PAYABLE TO THE CLERK..........................................................................10
E. ORDERS ....................................................................................................................10
F. TITLE OF DOCKET ENTRIES ................................................................................11
G. CORRECTING DOCKET ENTRIES .....................................................................11
H. TECHNICAL FAILURES .........................................................................................12
I. PRIVACY ..................................................................................................................13
III. CONVENTIONAL FILING OF DOCUMENTS ................................................................14
A. DOCUMENTS TO BE FILED UNDER SEAL ........................................................14
B. PRO SE LITIGANTS ................................................................................................14
C. SERVICE OF CONVENTIONAL FILINGS ............................................................14
D. RETENTION OF ORIGINALS OF DOCUMENTS REQUIRING SCANNING ....15
E. COPY REQUIREMENT FOR OVERSIZE DOCUMENTS ....................................15
F. WAIVERS OF ARRAIGNMENT.............................................................................15
IV. EXHIBITS ...............................................................................................................................15
A. ATTACHMENTS/EVIDENCE NOT IN SUPPORT OF A MOTION .....................15
B. EVIDENCE IN SUPPORT OF OR IN OPPOSITION TO A MOTION ..................16
C. TRIAL AND HEARING EXHIBITS ........................................................................17
V. PUBLIC ACCESS TO THE SYSTEM DOCKET...............................................................19
A. PUBLIC ACCESS AT THE COURT........................................................................19
B. INTERNET ACCESS ................................................................................................19
C. CONVENTIONAL COPIES AND CERTIFIED COPIES .......................................19
FORM ATTACHMENT .................................................................................................................20
FORM A - CERTIFICATE OF SERVICE ........................................................................21
CM/ECF Administrative Procedures – Criminal 05-18-2021
ADMINISTRATIVE PROCEDURES FOR FILING, SIGNING, AND VERIFYING
PLEADINGS AND DOCUMENTS IN THE DISTRICT COURT UNDER THE CASE
MANAGEMENT/ELECTRONIC CASE FILES SYSTEM
IN CRIMINAL CASES
I. THE CASE MANAGEMENT/ELECTRONIC CASE FILES SYSTEM
A. AUTHORIZATION
General Order No. 04-0001 adopts the Case Management/Electronic Case Files
(“CM/ECF”) System and authorizes electronic filing in conjunction with Federal
Rule of Criminal Procedure 57. Pursuant to this order, the following procedures
govern electronic filing in this district unless, due to extraordinary circumstances in a
particular case, a judicial officer determines that the requirements of these policies
and procedures should be modified in the interest of justice. The General Order and
these Procedures are effective November 1, 2004.
B. DEFINITIONS AND INSTRUCTIONS
The following definitions and instructions shall apply to these Procedures for the
CM/ECF System:
The term “document” shall include pleadings, motions, exhibits, declarations,
affidavits, memoranda, papers, orders, notices, and any other filing by or to
the court.
The term “party” shall include counsel of record, pro se litigants, and other
persons or entities eligible to receive notice.
The terms “CM/ECF” and “the System” refer to the court’s Case
Management/Electronic Case Files System.
The term “CM/ECF website” refers to the official Internet site of the Northern
District of Alabama at http://www.alnd.uscourts.gov. Click on the CM/ECF
link.
A “CM/ECF user” is a person who is registered to use the CM/ECF system. A
“CM/ECF noticed user” is a person who is initially signed up only for
electronic noticing and is able to browse the System. A “CM/ECF filer” is a
person who is also registered to file electronically.
“Electronic filing” means uploading a document directly from the registered
user’s computer, using the court’s Internet-based System, to file that
document in the court’s case file. Sending a document to the court via email
does not constitute “electronic filing.”
1
CM/ECF Administrative Procedures – Criminal 05-18-2021
The “Email Address of Record” refers to the Internet email address(s) of each
party to the case as maintained by the Clerk.
A “Notice of Electronic Filing” (“NEF”) is generated automatically by the
ECF System upon completion of an electronic filing. The NEF emailed to the
email addresses of record in the case acts as the proof of service, except as
noted in these procedures.
The term “PDF” refers to Portable Document Format. A PDF document
allows anyone to open the converted document across a broad range of
hardware and software, with layout, format, links, and images intact. For
information on PDF, users may visit the websites of PDF vendors, such as
http://www.adobe.com/products/acrobat or http://www.fineprint.com. Users
are encouraged to use Adobe to save PDF documents.
The term “conventional filing” refers to documents filed in paper.
The term “charging document” refers to any document that results in the
opening of a criminal case in this court.
Procedures and instructions for using the court’s CM/ECF System consistent
with these policies may be found on the court’s CM/ECF website.
All hours stated shall be Central time.
C. TECHNICAL SPECIFICATIONS
1. While the System requirements may be set forth more completely in a User’s
Manual or other court publication, it is expected that the following hardware
and software will be needed to electronically file, view and retrieve
documents in the electronic file System. Other specifications are also
indicated for optimum performance.
a. A computer running a Windows or a Macintosh operating system.
b. Software able to convert documents from a word processor such as
WordPerfect or Word to PDF. Adobe is preferred as the software for
conversion to PDF.
c. Netscape browser version 4.7x or higher or Internet Explorer 5.5 or
higher, each with 128 bit encryption is strongly recommended.
d. High speed internet access.
e. A scanner, if non-computerized documents need to be imaged.
2
CM/ECF Administrative Procedures – Criminal 05-18-2021
2. When scanning documents to be subsequently filed electronically, filing
parties should make certain their scanners are configured for 200 dpi and
black and white rather than color scanning. The filing party is responsible
for the legibility of the scanned document. If for any reason a document
cannot be easily read after scanning, the filing party should not electronically
file the document. Instead, the filing party must conventionally file it with the
Clerk’s office.
3. Because large documents may not upload properly to the System or download
within a reasonable amount of time for users with a 56K modem, documents
more than 10 megabytes will be rejected by the System and may be
filed conventionally if the filer cannot break the document into segments
of not more than 10 megabytes. As an estimate, PDF documents
produced by converting a normal text file using conversion software can
yield between 300 and 500 pages per 1 megabyte depending on the software
used; scanned documents will yield considerably fewer pages
(approximately one-tenth the number of pages depending on the scanner
settings). Documents with color and graphics may yield even fewer pages.
D. SYSTEM AVAILABILITY
The court’s System is designed to provide service 24 hours a day. The parties,
however, are encouraged to file documents in advance of filing deadlines and during
normal business hours. Several judges restrict filing times to normal business hours
of the Clerk of Court, 8:30 a.m. to 4:30 p.m. Restrictions are listed on the webpages
of the individual judges which can be accessed on the court’s Internet site at
www.alnd.uscourts.gov. Clerk’s office staff is available to respond to questions
regarding the electronic files system and the registration process and to receive voice
mail messages. The criminal docket clerks are available from 8:30 a.m. to 4:30 p.m.
Monday through Friday and will accept voice mail messages at any time. Calls
received after 4:30 p.m. will be returned the morning of the next business day.
If a party misses a filing deadline due to an inability to file electronically, the party
may seek relief by filing an appropriate motion.
E. SELECTION OF CASES
Unless otherwise permitted by these administrative procedures or unless otherwise
authorized by the assigned judge, all documents 1 submitted for filing in this district
after the official implementation date, currently January 1, 2005 in criminal cases, no
matter when a case was originally filed, shall be filed electronically, with the
following exceptions:
1
The requirement that “all documents” be filed electronically includes briefs, transcripts of proceedings, and
deposition transcripts used in support of motions.
3
CM/ECF Administrative Procedures – Criminal 05-18-2021
1. Parties proceeding pro se shall not file electronically. Attorneys appearing in
cases with pro se parties may electronically file documents and serve pro se
parties conventionally.
2. A criminal case previously filed under seal will be maintained in paper form
and will not be placed on the System unless the assigned judge orders the
case unsealed.
3. Juvenile criminal matters shall not be filed electronically unless, after
hearing, the court rules that the juvenile shall be tried as an adult.
4. While registered attorneys of record will have remote access to documents in
criminal cases, no public remote access will be available until further order of
the court. 2 Public access to docket sheets in criminal cases, however, will be
available. Also, members of the public may view electronic criminal files at
the public terminals in the Clerk’s office.
3. A registered CM/ECF filer may apply in a particular case to the assigned
judge for permission to file documents conventionally. Even if the assigned
judge initially grants an attorney permission to file documents
conventionally, the assigned judge may withdraw that permission at any time
during the pendency of a case and require that subsequent documents be filed
electronically using the System.
4. The Clerk’s office or any judge of this court may deviate from the
requirements of these procedures in specific cases, without prior notice, if
deemed appropriate in the exercise of discretion, considering the need for the
just, speedy, and inexpensive determination of matters pending before the
court. The court may also amend these procedures at any time without prior
notice. The most current version of Criminal Administrative Procedures can
always be found on the court’s website at www.alnd.uscourts.gov.
F. REGISTRATION
1. Each attorney who wishes to practice in this court will register for CM/ECF
Electronic Noticing. The Attorney Update and Registration for E-Noticing
form is available on the court’s website at http://www.alnd.uscourts.gov; click
on the CM/ECF link.
2
On March 13, 2002, the Judicial Conference of the United States approved an exception to the prohibition on
public access to criminal case records. In a high-profile criminal case where the demand for documents will “impose
extraordinary demands on a court’s resources,” that court is authorized to provide Internet access to criminal case files “if
all parties consent and the trial judge or presiding judge of an appellate panel finds that such access would be warranted.”
On September 19, 2001, the Judicial Conference determined that the policy restricting remote public access to
criminal records would be “re-examined within the next two year.”
4
CM/ECF Administrative Procedures – Criminal 05-18-2021
2. The court will issue logins and passwords to attorneys in good standing in the
Northern District of Alabama. To be in good standing, an attorney must meet
the requirements in N.D. ALA. LR 83.1. The login assigned will correspond to
the attorney’s Alabama State Bar identification number. The initial password
will be assigned by the court. Attorneys should change their password as
soon as possible after registering. The court will issue logins and passwords
to attorneys practicing pro hac vice in the Northern District of Alabama. The
login assigned will correspond to the Bar identification number assigned in
his/her state of residence. Attorneys should contact the Clerk’s office to
resolve any question regarding assignment of the login.
3. To ensure that the Clerk’s office has correctly entered a registering attorney’s
email address in the System, the Clerk’s office will send the attorney an email
message after the registration is processed. The user must reply to the email
for confirmation to activate the account.
4. Each attorney filing electronically must complete and submit an Attorney
Electronic Filing Registration Form. The form is available on the court’s
website at http://www.alnd.uscourts.gov; click on the CM/ECF link.
5. Once registered, attorneys may withdraw from participating in CM/ECF only
with permission from the court for good cause shown. Upon entry of an order
withdrawing an attorney, the Clerk’s office will immediately cancel the
attorney’s password and delete the attorney’s name from applicable
electronic service lists.
6. After registering, attorneys should change their passwords. If an attorney has
information that the security of an existing password may have been
compromised, the attorney should immediately change his or her password and
notify the Clerk’s office about the potential breach of security.
7. An attorney whose email address, mailing address, telephone or fax number
has changed shall timely file a Notice of Change of Address with the Clerk of
Court who will effectuate the change in every active case in which that
attorney is attorney of record.
The Clerk’s office will update the account of counsel in the System. This
update will be effected with the electronic filing of a Notice of Change of
Address. Training materials and instruction are provided as part of the
CM/ECF Electronic Filing Registration.
8. A PACER login is required in addition to the CM/ECF login and
password issued by the court in order to file electronically and to access
the System. To register for PACER, a user must complete the online form or
submit a registration form, available on the PACER website at
http://pacer.psc.uscourts.gov.
5
CM/ECF Administrative Procedures – Criminal 05-18-2021
G. LOGIN AND PASSWORD
Each attorney admitted to practice in the Northern District of Alabama shall be
entitled to one login and password from the District Court. The login and password
permit the attorney to participate in the electronic retrieval and filing of pleadings and
other papers.
1. No attorney shall knowingly permit or cause to permit his or her password to
be utilized by anyone other than an authorized employee of his or her office.
2. Once registered, the attorney shall be responsible for all documents filed with
his or her password.
3. Registration for a login and password is governed by Section I(F).
4. An attorney admitted pro hac vice must register for a login and password in
accordance with these Administrative Procedures. The $50 fee may be paid
online via Pay.gov during the filing of the event or mailed to the Clerk at the
time the motion for pro hac vice admission is electronically filed.
5. To comply with CM/ECF requirements, the password must consist of (a) at
least eight characters, (b) contain both uppercase and lowercase characters,
and (c) contain at least one numeral or special character (such as $, %, #, *,
&, ?).
II. ELECTRONIC FILING AND SERVICE OF DOCUMENTS
A. FILING
1. Electronically filed documents must meet the requirements of Rule 47 of the
Federal Rules of Criminal Procedure.
2. All charging documents (complaint, information, indictment, Rule 20 order)
must be filed in conventional paper format. The Clerk will maintain the paper
documents as required by records management rules. The Clerk will scan the
initiating charging document, save it to PDF format and electronically file it
in the System. All subsequent pleadings, motions, applications, briefs,
memoranda of law, deposition transcripts, transcripts of proceedings, or other
miscellaneous documents in a case shall be electronically filed in the System
except as otherwise provided by these administrative procedures.
Emailing a document to the Clerk’s office or to the assigned judge shall not
constitute “filing” of the document. A document shall not be considered filed
for purposes of the Federal Rules of Criminal Procedure until the filing party
receives a System-generated “Notice of Electronic Filing” described in
Section II(B)1 of these procedures.
6
CM/ECF Administrative Procedures – Criminal 05-18-2021
3. Pleadings or documents will be deemed timely filed on any particular date if
filed prior to midnight on that date unless otherwise limited by order of this
court. The time of filing is governed by the Notice of Electronic Filing which
is generated after the document is uploaded to the court’s CM/ECF server.
Counsel should be aware that, in the case of large electronic filings initiated
close to midnight, the filing may not be completed by midnight. Extensions
of time and allowances for late filings are permitted only by the judicial
officer.
4. Documents which require leave of court shall be attached as an exhibit to the
motion for leave to file as set out in Section IV(B). If the court grants the
motion, the attorney must electronically file an exact duplicate of the
attachment.
5. Attachments and exhibits larger than 10 megabytes may be filed
electronically in separate 10 megabyte segments. Documents and exhibits
which cannot be produced in digital format may be filed in paper format
with conventional service on opposing counsel. Lengthy documents
submitted to the Clerk’s office in paper form shall not be bound or stapled
or paper clipped, but rather, shall be held together by removable spring
binding clips. The filing party must additionally file an electronic notice of
filing of paper documents in the CM/ECF system.
6. The Clerk’s office shall not maintain a paper court file in any case begun
after the effective date of these procedures except as otherwise provided in
these procedures. The official court record shall be the electronic file
maintained on the court’s servers. The official record shall include, however,
any conventional documents or exhibits filed in accordance with these
procedures.
7. For all filings electronic or conventional, the style of the criminal case
number on the face of the document shall read as follows:
[Division#]:[2-digit year]-cr-[case #][Initials of presiding judge][Initials of
referral judge]
Division numbers: 1-Eastern, 2-Southern, 3-Northwestern, 4-Middle,
5-Northeastern, 6-Jasper, 7-Western
For example, 2:04-cr-500-LSC-SGC is the court’s 500th criminal case filed in
2004. The case was filed in the Southern Division and is assigned to Judge
Coogler and referred to Magistrate Judge Cornelius. The system will read
case number with or without dashes and will find the case with only the year
and number.
7
CM/ECF Administrative Procedures – Criminal 05-18-2021
8. Pursuant to the policy set forth in Rule 13 of the Model Local Rules for
Electronic Case Filing, endorsed by the Judicial Conference in October 2005, a
hyperlink contained in a filing is no more than a convenient mechanism for
accessing material cited in a document. A hyperlink reference is extraneous
to a filed document and is not a part of the court’s record. In order to
preserve the integrity of the court record, users wishing to insert hyperlinks in
court filings shall continue to use the conventional citation method for the cited
authority, in addition to the hyperlink. Hyperlinks are only permissible for
legal references and citations and are not to include advertisements. The court
may direct the Clerk to strike any pleading which contains an inappropriate
hyperlink.
9. Filing a Document Containing Redactions
Unless redacted properly, redactions in pdf documents can be revealed using
Adobe Acrobat Pro, even after the document has been filed electronically in
the CM/ECF system. Adobe provides an overview of how to redact
documents and remove sensitive information at the following link:
https://helpx.adobe.com/acrobat/using/removing-sensitive-content-pdfs.html
Here is an additional link for assistance with handling redactions in a pdf
document: https://lawyerist.com/how-to-redact-a-pdf/
To properly make redactions that cannot be revealed, use the following steps:
First, open the document you wish to redact in Acrobat Pro, go to the Tools
menu, then select Redact. Doing so will bring up the redaction tools when
you return to your document. Select Mark for Redaction and Adobe will
remind you that redacting is a two-step process. In the document, highlight
the text you want to redact and Acrobat will outline it in red. Then click
Apply to redact the highlighted text. Acrobat will ask if you are sure you
want the material redacted. If so, click OK.
The second step of the two-step process is to remove metadata regarding the
redacted text. After you click OK, Acrobat will then ask you if you want to
find and remove any other hidden information. You should always say Yes to
this. Acrobat is asking if you want to remove the metadata, and you always
want to remove the metadata.
Alternatively, to assure that redactions cannot be revealed once a document is
filed in CM/ECF, the document should be printed and the redactions made
with a black marker. The marked document can then be scanned and the
resulting pdf can be filed in CM/ECF.
8
CM/ECF Administrative Procedures – Criminal 05-18-2021
B. SERVICE
1. Whenever a pleading or other paper is filed electronically in accordance with
these procedures, the System shall generate a NEF to the filing party and to
any other party who is a registered user and has requested electronic notice in
that case. 3
(a) If the recipient is a registered participant in the System, the System’s
emailing of the NEF shall be the equivalent of service of the pleading or
other paper by hand delivery.
(b) Service of the NEF on a party who is not a registered participant in the
System may be accomplished by email, subject to the additional service
requirements of paragraph B(3) below.
2. A certificate of service on all parties entitled to service or notice is still
required when a party files a document electronically. The certificate must
state the manner in which service or notice was accomplished on each party
so entitled. Sample language for a certificate of service is attached to these
procedures as Form A.
3. A party who is not a registered participant of the System is entitled to a paper
copy of any electronically filed pleading, document, or order. The filing party
must therefore provide the non-registered party with the pleading, document,
or order according to the Federal Rules of Criminal Procedure. When mailing
paper copies of documents that have been electronically filed, the filing party
must include the NEF to provide the recipient with proof of the filing.
4. A filer who elects to bring a document to the Clerk’s office for scanning and
uploading to the System due to technical difficulties, must serve conventional
copies on all non-registered parties to the case. Some delay in the uploading
and subsequent electronic noticing of the document may be expected. If time
of receipt by opposing counsel is an issue, filers should consider paper
service or notice by an alternate means on registered parties, such as email or
fax.
C. SIGNATURES AND AFFIDAVITS
1. A pleading or other document requiring an attorney’s signature shall be
signed personally if submitted in paper format or signed in electronic format
3
To determine whether another party is a registered user, the filer can select the System’s “Utilities” category,
and then click on “Mailing Information for a Case” on the pull-down menu. The filer then enters the case number and
the System information will appear, stating whether or not the filer must mail a copy or if the System will electronically
generate one.
9
CM/ECF Administrative Procedures – Criminal 05-18-2021
with digital signature or “s/(attorney name).” The correct format for an
attorney signature is as follows:
s/E. Cape Able [or electronic signature]
Able Attorney
Bar Number: 12345
Attorney for (Government/Defendant)
ABC Law Firm
123 Biscuit Street
Birmingham, Alabama 35203
Telephone: (205) 123-4567
Fax: (205) 123-7654
Email:
[email protected]
2. Documents that must contain original signatures, such as affidavits, contracts,
bonds, etc., or which require either verification or an unsworn declaration
under any rule or statute, shall be filed electronically with originally executed
copies maintained by the filer. The electronic filing must include a certificate
that the filer currently holds the original signature document complete with
all the legal formalities. The pleading or other document electronically filed
shall indicate a signature, e.g., “s/Jane Doe,” or the original may be scanned
and electronically filed in the ECF System. The filing party or attorney shall
retain the hard copy of the document containing the original signatures for at
least one (1) year after expiration of all time periods for appeals, or resolution
of appeals, whichever is later.
3. In the case of a stipulation or other document to be signed by two or more
persons, the following procedure should be used:
Documents requiring signatures of more than one party shall be filed by
submitting a scanned document containing all necessary signatures.
D. FEES PAYABLE TO THE CLERK
Any fee required for filing a pleading or paper in District Court is payable to the Clerk
of the Court by check, money order, or cash. The Clerk’s office will document receipt
of fees on the docket with a text-only entry. The court will not maintain electronic
billing or debit accounts for lawyers or law firms.
E. ORDERS
1. The assigned judge or the Clerk’s office shall electronically file all signed
orders. Any order signed electronically has the same force and effect as if the
judge’s signature was affixed to a paper copy of the order and it had been
entered on the docket conventionally.
10
CM/ECF Administrative Procedures – Criminal 05-18-2021
2. The court will fax or mail copies of orders entered electronically to pro se
parties who are not registered participants of the CM/ECF System.
3. Submitting Proposed Orders
Proposed orders may be electronically submitted directly to chambers as an
attachment to an email and not submitted electronically through the court’s
CM/ECF System. The email should include the case number and style in the
subject line. Attorneys are encouraged to send proposed orders directly to
chambers in Word or WordPerfect format. Special email addresses for each
judge are listed on the court’s website. If the judge approves the proposed
order, it will be electronically signed and filed in CM/ECF by court staff.
(a) A filing party moving for issuance of a writ, warrant, or summons should
advise the judge if a prompt ruling is required. Any proposed writ or
summons should be emailed directly to chambers in WordPerfect or Word
format.
(b) A motion to file documents under seal shall be made in the manner
specified in paragraph III(A) of these procedures.
4. Filing Proposed Documents
If leave of court is required before a party may file a document, the proposed
document shall be attached as an exhibit to the motion requesting leave of
court. If the court grants the motion, the attorney must file electronically an
exact duplicate of the proposed document into the System.
F. TITLE OF DOCKET ENTRIES
The party electronically filing a pleading or other document shall be responsible for
designating a docket entry title for the document by using one of the docket event
categories prescribed by the court. 4
G. CORRECTING DOCKET ENTRIES
1. Once a document is filed electronically and becomes part of the case docket,
corrections to the docket are made only by the Clerk’s office. The System
will not permit the filing party to make changes to the document(s) or docket
entry filed in error once the transaction has been accepted and the Notice of
Electronic Filing has been displayed.
4
Readers may view the ACM/ECF Criminal Menu for Attorneys@ on the CM/ECF link on the court’s website:
www.alnd.uscourts.gov.
11
CM/ECF Administrative Procedures – Criminal 05-18-2021
2. A document incorrectly filed in a case may be the result of posting the wrong
PDF file to a docket entry, selecting the wrong document type from the
menu, or entering the wrong case number and not catching the error before
the transaction is completed. The filing party should not attempt to re-file
the document.
3. As soon as possible after an error is discovered, the filing party should
contact the Clerk’s office with the case number and document number for
which the correction is being requested. If appropriate, the court will make an
entry indicating that the document was filed in error. The filing party will be
advised if the document needs to be re-filed.
4. The Clerk will correct filing-process errors, such as errors related to case
numbers, document-type selection, filing in the wrong case, and obviously
erroneous filings, but will not remove or correct documents correctly filed in a
case simply because counsel requests removal or correction for reasons
unrelated to errors in the process of electronic filing.
H. TECHNICAL FAILURES
1. The Clerk’s office shall deem the Northern District of Alabama CM/ECF site
to be subject to a technical failure on a given day if the site is unable to
accept filings continuously or intermittently over the course of any period of
time greater than one hour after 10:00 a.m. that day. Scheduled maintenance
outages of the system will be posted on the website prior to the outage.
2. Technical problems encountered by the filer, such as phone line problems,
problems with the filer’s Internet Service Provider (“ISP”), or hardware or
software problems, will not constitute a technical failure under these
procedures nor excuse an untimely filing. A filer who cannot file a document
electronically because of his own technical problems may bring a disk to the
Clerk’s office for filing.
3. A filing party whose filing is made untimely as the result of a technical
failure of the court’s CM/ECF site may seek relief from the court by filing an
appropriate motion.
12
CM/ECF Administrative Procedures – Criminal 05-18-2021
I. PRIVACY
To address the privacy concerns created by Internet access, you should not include
certain types of sensitive information in any document filed with the court unless
such inclusion is necessary and relevant to the case. You must remember that any
personal information not otherwise protected will be made available over the Internet
via CM/ECF. If sensitive information must be included, the following five (5)
personal data identifiers must be redacted from electronically filed documents,
unless otherwise ordered by the court:
1. Social Security numbers. If an individual’s social security number must
be included in a document, only the last four digits of that number should be
used.
2. Names of minor children. If the involvement of a minor child must be
mentioned, only the initials of that child should be used.
3. Dates of birth. If an individual’s date of birth must be included in a
document, only the year should be used.
4. Financial account numbers. If financial account numbers are relevant,
only the last four digits of these numbers should be used.
5. Addresses of Individuals. If the address of an individual is relevant, only
the city and state should be used.
In compliance with the E-Government Act of 2002, a party wishing to file a
document containing the personal data identifiers specified above may file, with
leave of court, an un-redacted document under seal. This document shall be retained
by the court as part of the record. The court, however, will require a redacted version
of the pleading to be filed electronically for the public file. Caution is recommended
with regard to other personal identifiers, such as driver’s license, medical records,
treatment and diagnosis, employment history, individual financial information, and
proprietary or trade secret information.
Counsel is strongly urged to share this information with all clients so that an
informed decision about inclusion of materials may be made. It is the sole
responsibility of counsel and the parties to ensure that redaction of personal
identifiers is done. The Clerk will not review each pleading for compliance with the
rule.
13
CM/ECF Administrative Procedures – Criminal 05-18-2021
III. CONVENTIONAL FILING OF DOCUMENTS
The following procedures govern documents filed conventionally. The court, upon
application, may also authorize conventional filing of other documents otherwise subject to
these procedures.
A. DOCUMENTS TO BE FILED UNDER SEAL
Before a document is filed under seal, the filing party first must obtain
permission from a judicial officer by filing a motion or application seeking leave
to file a sealed document. At the same time, the document(s) proposed to be
sealed is to be submitted to the Clerk in conventional paper format with a PDF
copy of the document(s) on a disk. A party must electronically file the motion or
application for leave to file documents under seal, but the filer should not
electronically attach the document(s) proposed to be sealed. A motion or
application for leave to file documents under seal which is not filed electronically shall
be presented in conventional paper format to the Clerk’s office, together with a PDF
version of the motion and sealed document(s) on a disk, along with a proposed order in
paper format. If the motion or application is granted, the assigned judge, or designee,
will enter an order authorizing the filing of the document(s) under seal, and the Clerk
will file electronically the PDF version of the sealed document(s). The filer should
not undertake to electronically file the sealed document(s). Documents so filed will
be available for viewing only by counsel in the case and court staff assigned to the
presiding judicial officer(s). Counsel must serve copies of seal documents on opposing
counsel by mail.
B. PRO SE LITIGANTS
Pro se litigants shall conventionally file paper originals of all pleadings, motions,
affidavits, briefs, and other documents which must be signed or which require either
verification or an unsworn declaration under any rule or statute. The Clerk’s office
will scan and file the document electronically and retain the paper original. The
official court record will be the electronic file maintained on the court’s servers.
C. SERVICE OF CONVENTIONAL FILINGS
A filer who files documents conventionally, pursuant to these Administrative
Procedures, by bringing a document to the Clerk’s office for scanning and uploading
to the System must serve conventional copies on all non-registered parties to the case
in accordance with the Federal Rules of Criminal Procedure. Some delay in the
uploading and subsequent electronic noticing of the document may be expected. If
time of receipt by opposing counsel is an issue, filers should serve paper copies on
registered parties conventionally or by alternate means, such as email or fax.
14
CM/ECF Administrative Procedures – Criminal 05-18-2021
D. RETENTION OF ORIGINALS OF DOCUMENTS REQUIRING SCANNING
Originals of documents which have been scanned by counsel and filed electronically
must be retained by the filing party and made available upon request to the court and
other parties for a period of at least one (1) year following the expiration of all time
periods for appeals, or resolution of appeals, whichever is later.
E. COPY REQUIREMENT FOR OVERSIZE DOCUMENTS
For all electronic filings of twenty-five (25) pages or more, counsel is required to
supply one conventional (paper) copy of the filing to the Clerk of Court. Such paper
copies of the documents are to be submitted to the Clerk’s office, not to chambers,
within twenty-four hours after the electronic filing. The electronically filed document
shall remain the official filing, and any discrepancy between it and the paper copy is
resolved in favor of the electronically filed version. Some judges have waived this
requirement with selected filings which can be determined by reviewing the
judge’s personal webpage linked to the court’s webpage.
F. WAIVERS OF ARRAIGNMENT
A Waiver of Arraignment and Plea of Not Guilty as authorized by Rule 10(b) of the
Federal Rules of Criminal Procedure, is not effective if filed electronically and will not
excuse a defendant or counsel from appearing if notified to appear for arraignment.
A waiver under Rule 10(b)(2) is not effective until accepted and approved by the court
(Rule 10(b)(3)). A document styled as a Waiver is a legal nullity unless and until
accepted by the court. The only circumstance under which a written Waiver of
Arraignment and Plea of Not Guilty has been accepted by the court has involved a
superseding indictment in which there has been no substantive change to the charge
made against a waiving defendant. The Waiver of Arraignment and Plea of Not Guilty
must be on a paper form provided directly to counsel by a judge of this court, and
signed by both counsel and the defendant. The Waiver of Arraignment and Plea of Not
Guilty is to be returned directly to the chambers of the judge providing the form, not
filed with the Clerk of the Court. The waiver is valid only upon its acceptance by
the court as certified by the judge=s signature on the same form which
contains the original signatures of both the defendant and defendant=s counsel.
No other method of waiver of arraignment and plea of not guilty pursuant to Rule 10
has been or will be accepted by the United States District Court for the Northern
District of Alabama without special order.
IV. EXHIBITS
A. ATTACHMENTS/EVIDENCE NOT IN SUPPORT OF A MOTION
This section applies to exhibits other than those submitted in support of a motion.
Exhibits submitted in support of a motion are governed by Section IV(B) of these
procedures.
15
CM/ECF Administrative Procedures – Criminal 05-18-2021
1. Attachments and exhibits to documents which are too large to convert to a
usable electronic format, such as books, large color pictures or old documents
of poor quality, may be conventionally filed with the Clerk and served on
opposing counsel. The conventional charging document or electronically
filed document with exhibits must include a statement that the attachments
and/or exhibits are being conventionally filed. Documents so filed shall be
retained by the Clerk in accordance with the records management guide.
2. If possible, a filing party should electronically image, i.e., “scan,” a paper
exhibit that is fewer than 10 megabytes and submit the exhibit as a PDF
file. Because PDF files containing scanned documents take up considerably
more space on the System than PDF files containing electronically
generated documents, filing parties may submit PDF files
containing scanned documents of more than 10 megabytes only if they
are filed in separate 10-megabyte segments. Electronically filed documents
with large attachments and/or exhibits must attach an appendix clearly
identifying the exhibits and attachments. Additionally, each PDF
attachment of exhibits or evidence should clearly identify the content in
the description field on the electronic filing.
3. If the scanner is set to scan in color, documents will take much longer to
upload; filing parties should configure their scanners to scan documents at
200 dpi and in black and white, not in color. Documents appearing in color in
their original form, such as color photographs, may be scanned in color and
then uploaded to the System.
4. The filing party must verify the readability of scanned documents before
filing them electronically with the court.
5. Exhibits submitted conventionally shall be served on other parties
conventionally.
B. EVIDENCE IN SUPPORT OF OR IN OPPOSITION TO A MOTION
1. A party electronically submitting evidentiary materials to the Clerk’s office
in support of, or in opposition to, a motion shall reference the base motion
being supported or opposed in the caption of the pleading and include as the
first attachment an index listing each item of evidence being filed.
Attachments and exhibits which are too large to file electronically shall be
filed in accordance with Sections IV(A)(1)&(2).
2. If possible, filing parties should electronically image, i.e., “scan,” a paper
exhibit and attach the resulting PDF file(s) to the electronically filed motion
if the attached files are no more than 10 megabytes each. Note that
multiple files can be attached to a filing, so long as each does not
exceed the 10 megabyte limitation.
16
CM/ECF Administrative Procedures – Criminal 05-18-2021
Each separate file attachment must be clearly identified in the index of the
attachment for easy recognition.
3. If the scanner is set to scan in color, documents will take much longer to
upload; filing parties should configure their scanners to scan documents at
200 dpi and in black and white, not in color. Documents appearing in color in
their original form, such as color photographs, may be scanned in color and
then uploaded to the System.
4. The filing party is required to verify the readability of scanned documents
before filing them electronically with the court.
5. A party submitting evidentiary materials in conventional format shall also file
in conventional format an index of evidence listing each item of evidence
being filed and identifying the motion to which it relates. Lengthy documents
submitted to the Clerk=s office in paper form shall not be bound or stapled or
paper clipped, but rather, shall be held together by removable spring binding
clips.
6. Copies of conventionally filed supporting materials shall be served on other
parties conventionally.
C. TRIAL AND HEARING EXHIBITS
Effective December 1, 2016, the United States Court of Appeals for the Eleventh
Circuit adopted changes to its Local Rules and Internal Operating Procedures that
impact the manner in which trial or hearing exhibits are transmitted to the court of
appeals in connection with appeals. For purposes of CM/ECF, there are three (3)
important requirements:
• “The district court clerk must include in the electronic record on
appeal electronic versions of all documentary exhibits admitted into
evidence at trial or any evidentiary hearing”;
• “If documentary exhibits have been sealed or marked confidential by
the district court or the district court clerk, the district court clerk must
transmit any such sealed or confidential documentary exhibits to this
court either in their original form or in electronic form provided the
electronic access is appropriately restricted,…”; and
• “As to non-documentary physical exhibits, the parties are required to
include photographs or other reproductions of such exhibits in the
electronic record on appeal.”
1. In order to comply with the Eleventh Circuit’s requirements, beginning
December 1, 2016, counsel offering any documentary exhibit at a trial or
17
CM/ECF Administrative Procedures – Criminal 05-18-2021
hearing must supply the courtroom deputy assigned to the trial or hearing a
full, complete, and unaltered electronic version of each offered documentary
exhibit, scanned or created in PDF format. (Counsel should refer to paragraph
I(C)(2) of this Administrative Procedures Manual for specifications related to
scanning and creating PDF-formatted files). To enable the courtroom deputy
to electronically docket each separate exhibit, each exhibit shall be a separate
PDF-formatted electronic file (i.e., trial or hearing exhibits should NOT be
combined in one large PDF file).
2. At the beginning of the trial or hearing, counsel must supply the courtroom
deputy with a disk or other electronic medium on which such separate exhibit
files have been stored so that the courtroom deputy may upload each such
exhibit file to CM/ECF at the conclusion of the trial or hearing. The labeling
of each electronic exhibit file must correspond to the exhibit number or other
identification on the documentary exhibit. If counsel offers an exhibit for
which he or she has not supplied an electronic version at the beginning of the
trial or hearing, counsel shall provide such an electronic version before the
end of the proceeding.
3. In the event counsel desires to keep an exhibit confidential or sealed, counsel
should bring that to the attention of the court and the courtroom deputy so
that appropriate docketing can occur.
4. For every non-documentary physical exhibit, counsel must supply the
courtroom deputy with one or more unaltered and unannotated photographs,
drawings, diagrams, or other depictions of the exhibit, scanned or created in
PDF format for electronic filing. Multiple photographs, drawings, diagrams,
or depictions of the same physical exhibit may be combined into one
PDF-formatted file, but separate electronic files will be provided for each
separate exhibit.
5. At the beginning of a trial or hearing, counsel shall provide the courtroom
deputy with a disk or other electronic medium on which such PDF-formatted
electronic files depicting physical exhibits have been stored. The courtroom
deputy will upload and docket into CM/ECF the electronic files related to
admitted exhibits at the conclusion of the trial or hearing. The labeling of
each electronic exhibit file must correspond to the exhibit number or other
identification on the physical exhibit. If counsel offers an exhibit for which
he or she has not supplied an electronic depiction at the beginning of the trial
or hearing, counsel shall provide such an electronic depiction before the end
of the proceeding.
6. Counsel may request that the court instruct the courtroom deputy to upload
and docket a documentary exhibit or depictions of a physical exhibit not
admitted into evidence by the court for purposes of preserving for appeal an
18
CM/ECF Administrative Procedures – Criminal 05-18-2021
offer of proof as to such an exhibit, but such exhibit shall not be displayed to
or revealed to the jury.
V. PUBLIC ACCESS TO THE SYSTEM DOCKET
A. PUBLIC ACCESS AT THE COURT
Electronic access to the electronic docket and documents filed in the System is
available at no charge at the Clerk’s office during regular business hours. A copy fee
for an electronic reproduction is required in accordance with 28 U.S.C. § 1930.
B. INTERNET ACCESS
1. Remote electronic access to the System for viewing purposes is limited to
subscribers to the Public Access to Court Electronic Records (“PACER”)
system. The Judicial Conference of the United States has ruled that a user fee
will be charged for remotely accessing certain detailed case information, such
as filed documents and docket sheets in criminal cases, but excluding review
of calendars and similar general information. 5
2. Until further order of the court, no one but an attorney of record may
remotely view records in criminal cases. Public remote access will be limited
to viewing docket sheets only.
3. An exception to the prohibition on public remote access to criminal case
filings is possible in a high-profile criminal case where the demand for
documents will impose extraordinary demands on the court’s resources. The
district court is authorized to provide Internet access to the documents filed in
that case if all parties consent and the trial judge finds that such access is
warranted.
C. CONVENTIONAL COPIES AND CERTIFIED COPIES
Conventional copies and certified copies of electronically filed documents may be
purchased at the Clerk’s office. The fee for copying and certifying will be in
accordance with 28 U.S.C. § 1914.
5
According to a memorandum from the Administrative Office of the United States Courts dated April 9,
2002, non-judiciary CM/ECF users will be charged a fee of seven cents per page starting on July 1, 2002, to access
electronic data such as docket sheets and case documents obtained remotely through the PACER system. The
maximum charge per document is $2.10.
The access fee does not apply to official recipients of electronic documents, i.e., parties legally required to
receive service or to whom service is directed by the filer in the context of service under Federal Rules of Criminal
Procedure. Official recipients will receive the initial electronic copy of a document free to download as they see fit,
but if they remotely access the document again, they will be charged seven cents a page.
19
CM/ECF Administrative Procedures – Criminal 05-18-2021
FORM ATTACHMENT
20
CM/ECF Administrative Procedures – Criminal 05-18-2021
FORM A
SAMPLE FORMAT
IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ALABAMA
SOUTHERN DIVISION
)
UNITED STATES OF AMERICA )
)
vs. ) Case No. 2:04-cr-500-LSC-SGC
)
Defendant. )
CERTIFICATE OF SERVICE
I hereby certify that on (Date), I electronically filed the foregoing with the Clerk of the Court using
the CM/ECF system which will send notification of such filing to the following:
____________________________________________, and I hereby certify that I have mailed by
United States Postal Service the document to the following non-CM/ECF participants:_________
______________________________.
Respectfully submitted,
s/[Name of Password Registrant]
Name of Password Registrant
Address
City, State, Zip Code
Phone: (xxx) xxx-xxxx
Fax: (xxx) xxx-xxxx
Email:
[email protected]
[attorney bar number, if applicable]
21
