ADMINISTRATIVE PROCEDURES
GUIDE FOR ELECTRONIC FILING
Revised: October 5, 2022
Significant revisions from previous version are highlighted.
Table of Contents
1. REGISTRATION FOR THE ELECTRONIC CASE FILING SYSTEM ................................................................................ 3
(A) Designation of Cases .................................................................................................................................... 3
(B) Username and Password ............................................................................................................................. 3
(C) Registration.................................................................................................................................................. 3
2. ELECTRONIC FILING AND SERVICE OF DOCUMENTS............................................................................................. 5
(A) Filing............................................................................................................................................................. 5
(B) Official Court Record.................................................................................................................................... 6
(C) Complaints, Petitions, Summons and Charging Instruments ...................................................................... 7
(D) Attachments, Exhibits, Large Documents and Color Documents ................................................................ 7
(E) Timely Filing of Documents ......................................................................................................................... 8
(F) Service of Documents by Electronic Means................................................................................................. 8
(G) Signatures .................................................................................................................................................. 10
(H) Fees Payable to the Clerk........................................................................................................................... 11
(I) Title of Docket Entries................................................................................................................................ 11
(J) Stipulations ................................................................................................................................................ 11
(K) Filing Letters Electronically ........................................................................................................................ 11
(L) Proposed Orders ........................................................................................................................................ 12
(M) Orders and Judgments ............................................................................................................................... 13
(N) Appeals ...................................................................................................................................................... 13
(O) Correcting Docket Entries .......................................................................................................................... 14
(P) Privacy........................................................................................................................................................ 14
(Q) Manual Opening of Certain Types of Cases ............................................................................................... 15
(R) Manual Filing of Documents ...................................................................................................................... 15
(S) Motion to Unseal Case or Document ........................................................................................................ 19
(T) Bounce Back E-mails .................................................................................................................................. 19
(U) Government Attorneys .............................................................................................................................. 19
(V) System Availability ..................................................................................................................................... 19
(W) Technical Failures ...................................................................................................................................... 20
3. PUBLIC ACCESS TO THE SYSTEM ......................................................................................................................... 20
(A) Public Access at the Court. ........................................................................................................................ 20
(B) Internet Access .......................................................................................................................................... 20
(C) Conventional Copies and Certified Copies ................................................................................................. 20
4. Appendices ......................................................................................................................................................... 21
(A) WORKING WITH PDFs ................................................................................................................................ 21
(B) Sample Certificate of Service. .................................................................................................................... 22
(C) Standard Party Guidelines ......................................................................................................................... 23
ADMINISTRATIVE PROCEDURES
The U.S. District Court for the Western District of New York requires attorneys in civil
and criminal cases to file documents with the Court electronically over the Internet using
its Case Management/Electronic Case Filing (CM/ECF) system.
The Court requires attorneys to file documents electronically, absent a showing of good
cause, unless otherwise excused by the procedures set forth below or by Order of the
Court.
Typically only registered attorneys, as Officers of the Court, will be permitted to file
documents electronically. A Judicial Officer may, at his or her discretion, grant a pro se
litigant who demonstrates a willingness and capability to file documents electronically,
permission to register to do so. Permission to electronically file documents by an
attorney or approved pro se filer may be revoked at any time.
1. REGISTRATION FOR THE ELECTRONIC CASE FILING SYSTEM
(A) Designation of Cases
Beginning January 1, 2004, all civil and criminal cases currently pending and
newly filed, except as expressly noted herein, were assigned to the Electronic
Case Filing System (“System”). Except as expressly provided and in
exceptional circumstances preventing a filing user from filing electronically, all
petitions, motions, memoranda of law, or other pleadings and documents
required to be filed with the Court in connection with a case assigned to the
System must be electronically filed.
(B) Username and Password
Attorneys admitted to practice in this Court and currently in good standing,
including those admitted pro hac vice and attorneys authorized to represent the
United States, must register as filing users of the Court’s Electronic Filing
System.
Pro Se litigants who have been granted permission to file documents
electronically must register as a filing user of the Court’s Electronic Filing
System.
(C) Registration
(i) Registration is in a form prescribed by the Clerk and requires the filing
user’s name, address, telephone number, and Internet e-mail address.
Attorneys must include a declaration that they are admitted to the bar of
this court. A completed registration form must be submitted to the Court
by each registering attorney or pro se litigant who has been granted
permission to electronically file documents. The registration forms are
available on our web site at: www.nywd.uscourts.gov. Registration as a
filing user constitutes consent to electronic service of all documents
provided herein in accordance with the Federal Rules of Civil Procedure.
All registration forms must be faxed, mailed, or delivered to the Office of
the Clerk, U.S. District Court, 2 Niagara Square, Buffalo, NY 14202.
(ii) On December 20, 2021 the Western District of New York upgraded to
CM/ECF NextGen. Attorneys admitted and registered to e-file prior to this
date must link their individual PACER account with their former CM/ECF
account. Attorneys admitted after this date must register to e-file via
PACER as well as submit a registration form to the Court.
(iii) The PACER username and password combination serves as a signature
for purposes of the Federal Rules of Civil Procedure (including Rule 11),
the Federal Rules of Criminal Procedure, the Local Rules of this Court,
and any other purposes for which a signature is required in connection
with proceedings before the Court. The login and password issued to an
individual may be used only to file documents on behalf of that attorney or
pro se litigant.
(iv) A registered attorney may share his or her username and password with
an authorized employee or agent of that attorney’s law office or
organization for purposes of filing. This does not in any way alter the fact
that the attorney’s username and password combination constitute that
attorney’s official signature on electronically filed documents.
(v) Registered users are able to change their own passwords and from time
to time may be prompted to change their passwords for security reasons.
In the event that they believe the security of an existing password has
been compromised and that a threat to the System exists, registered
users must change their pacer.gov password immediately and give
immediate notice by telephonic means to the Clerk of Court or Systems
Manager (716-551-1700) and confirm by facsimile (716-551-1705) in order
to prevent access to the System by use of the old password.
Users may be subject to sanctions for failure to comply with this provision.
(vi) A registered user whose e-mail address, mailing address, telephone
number or fax number has changed from that of the original registration
form shall timely e-file a notice of a change of address in each of that
user’s pending cases, and serve a copy of the notice on all pro se parties.
Registered users are responsible for updating this information via
pacer.gov
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(vii) The Court reserves the right to revoke or otherwise restrict a registered
user’s access to the System at any time should the Court have reasonable
cause to believe that the user has misused the System. Electronic and
written notice of any such revocation or restriction shall be provided to the
user.
(viii) Once registered, an attorney may withdraw from participation in the
Electronic Filing System only by permission of the Chief Judge of the
District for good cause shown. The registered attorney seeking to
withdraw must submit a written request to the Chief Judge explaining the
reason(s) or justification(s) for withdrawal.
Once registered, an approved pro se litigant may withdraw from
participation in the Electronic Filing System by submitting a written request
to the Judicial Officer who granted permission to participate in electronic
filing of documents.
Upon approval of a request from either a registered attorney or pro se
litigant, the Clerk of Court shall no longer allow the filing user electronic
access to the System and notify the filing user of same. It is the filing
user’s responsibility to notify opposing counsel in all pending cases that
the filing user has been granted permission to withdraw from the
Electronic Filing System and that all future service of documents must
therefore be made by manual means.
2. ELECTRONIC FILING AND SERVICE OF DOCUMENTS
(A) Filing
(i) All documents in civil, criminal, miscellaneous civil, miscellaneous criminal
and new civil case openings, except sealed documents, sealed cases,
opening of a criminal case, opening of a miscellaneous case and as
expressly provided for in these guidelines, shall be electronically filed on
the system. Electronic transmission of a document to the System
consistent with these procedures, whether accomplished by the filing user
or a Court user, together with the transmission of a Notice of Electronic
Filing from the Court, constitutes filing of a document for all purposes of
the Federal Rules of Civil and Criminal Procedure and the Local Rules of
this Court, and constitutes entry of the document on the docket kept by the
Clerk under Fed.R.Civ.P. 58 and 79 and Fed.R.Crim.P. 49 and 55. A
document shall not be considered filed for purposes of the Federal Rules
of Civil and Criminal Procedure until the filing party receives a System
generated Notice of Electronic Filing.
E-mailing or faxing a document to the Clerk’s Office or to the assigned
judge shall not constitute “filing” of such document.
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(ii) If the document to be filed requires leave of court, such as an amended
complaint or a document to be filed out of time, the proposed document
shall be attached as an exhibit to the motion (please refer to Local Rule 15
on submitting red-lined versions of amended pleadings). If the motion is
granted, the attorney must file the document electronically with the Court
as a separate document.
(iii) Courtesy copies of certain documents may be required. Filers should
refer to the “Judge Preferences” published on the Court’s website at
www.nywd.uscourts.gov for guidance.
(iv) Before filing an electronic document with the court, a filing user must verify
its legibility.
(v) A document created with a word processor, or a paper document, must be
converted to Portable Document Format to be electronically filed with the
court and must be text searchable. Do not print, scan and .PDF your
document when it has been created in a word processing program.
Additional information on working with PDFs is located at Section 4(A).
Documents which exist only in paper form may be scanned into a portable
document format (PDF) for electronic filing.
(vi) Pursuant to the policy set forth 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 any filed document and is not 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
method for the cited authority, in addition to the hyperlink.
The Court accepts no responsibility for, and does not endorse any
product, organization, and content at any hyperlinked site, or at any site to
which that site may be linked. The Court accepts no responsibility for the
availability or functionality of any hyperlink.
(B) Official Court Record
(i) The Clerk’s Office will not maintain a paper court file in any case begun on
or after January 1, 2004, except as otherwise provided herein. The official
court record shall be the electronic file as stored by the court, and any
manually filed documents or exhibits filed in accordance with these
procedures.
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(ii) Original documents must be retained by the filing party and made
available, upon request, to the Court and other parties for a period of one
year following the expiration of all time periods for appeals.
(C) Complaints, Petitions, Summons and Charging Instruments
(i) Registered attorneys must open most civil complaints, notices of removal,
and petitions for habeas corpus online (see 2(A)(i) for exemptions from
this rule). Filing fees for civil cases opened online are submitted using a
credit card during the opening process. Charging instruments in criminal
cases shall be submitted manually rather than electronically. In addition,
when a case is submitted manually, registered attorneys shall provide the
initiating document, in electronic format on a CD or DVD, in PDF format,
with signatures in accordance with Section 2(G) below.
(ii) Entry of party names shall follow the Standard Party Guidelines, available
at Section 4(C) and on the Court’s website at www.nywd.uscourts.gov.
(iii) When opening a civil case online, the civil cover sheet, summons (if
applicable) and marshal forms (if applicable) must be attached to the
initiating document as individual attachments. The filer should complete
the summons prior to uploading it as an attachment to the opening
document.
(iv) Summons will be issued electronically and returned to the registered
attorney through an entry in the System.
(D) Attachments, Exhibits, Large Documents and Color Documents
(i) Filing users must submit in electronic form all documents referenced as
exhibits or attachments, except as otherwise provided herein. A filing user
must submit as exhibits or attachments only those excerpts of the
referenced documents that are directly germane to the matter under
consideration by the court. Excerpted material must be clearly and
prominently identified as such. Filing users who file excerpts of
documents as exhibits or attachments under this rule do so without
prejudice to their right to timely file additional excerpts or the complete
document. Responding parties may timely file additional excerpts or the
complete document that they believe are directly germane. The Court
may require parties to file additional excerpts or the complete document. A
filing user must request leave of the Court to file a document exhibit or
attachment in non-electronic form (see 2(D)(vii)).
(ii) All documents filed in CM/ECF must be less than fifty Megabytes (50 MB)
in size. Due to potential processing errors, we recommend that users limit
attachments to twenty or fewer per docket entry. CM/ECF cannot merge
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multiple attachments into a single document if the sum total file size of all
attachments is larger than 50 MB.
(iii) Continuation of exhibit entries (for exhibits that are too large to attach to a
main document) must be filed and entered on the same day that the main
document was filed.
(iv) Color Documents - Documents in color or containing graphics take longer
to upload. Filing users are encouraged to configure their scanners to scan
documents at 200 dpi and preferably in black and white or grayscale
rather than color.
(v) Large Documents - A party who believes a document is too lengthy to
electronically image (i.e. scan), may contact the Court Room Deputy for
the assigned judge and request permission to file that document manually
(in paper form). If granted permission to file the document manually, the
filing user shall electronically file a Notice of Manual Filing for that item.
Exhibits submitted to the Court manually shall be served on other parties
manually.
(vi) Exhibits offered or admitted at trial will not be filed electronically or
manually unless so ordered by the Court.
(vii) Exhibits such as videotapes, CDs, DVDs, and tape recordings shall be
filed manually with the Clerk of Court, and a Notice of Manual Filing shall
be electronically filed by the party. Manually filed exhibits must have the
case number and case name securely fastened or permanently marked on
the item.
(E) Timely Filing of Documents
(i) A document will be deemed timely filed if filed prior to midnight Eastern
Time, unless otherwise ordered by the Court. A document will be
considered untimely if filed thereafter. When a Court order requires that a
document be filed on a weekend or holiday, the document may be filed by
close of business the next business day without further application to the
Court.
(ii) A document filed electronically is deemed filed on the date and time stated
on the Notice of Electronic Filing.
(F) Service of Documents by Electronic Means
(i) Registered users consent to the electronic service of all documents, and
must make available an electronic mail address for service during the
registration process. Upon the filing of a document by a party, a Notice of
Electronic Filing, with a hyperlink to the filed document, will be
automatically generated by the electronic filing system and sent via
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electronic mail to the e-mail addresses of all parties participating in the
electronic filing system in the case. Electronic service of the Notice of
Electronic Filing constitutes service of the filed document for all purposes
of the Federal Rules of Civil Procedure, Federal Rules of Criminal
Procedure and the Local Rules of this Court.
(ii) The hyperlink to filed documents contained in the Notice of Electronic
Filing must be opened within 15 days from the date the document was
filed to provide registered users access to the document. The hyperlink
expires after 15 days and users will be unable to access documents for
free after that time. Filing users are encouraged to check their e-mail
frequently for notice of filed documents.
(iii) Attorneys granted an exemption from electronically filing documents in the
System and pro se litigants who have not been granted permission to
electronically file documents are 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 Civil and Criminal Procedures.
(iv) The Notice of Electronic Filing effectuates service for all registered users
and no certificate of service is required when all filers on an action are
registered users. The following exemptions require a certificate of service
to be filed (refer to Section 4(B) for a sample):
(1) When a document is manually filed, a certificate of service must be
filed stating the manner in which service or notice was accomplished
on each party so entitled. This may be an attachment to the required
Notice of Manual Filing.
(2) When a pro se filer (who isn’t authorized to electronically file
documents) is a party, a certificate of service must be filed stating the
manner in which service or notice was accomplished on the pro se
party. The Notice of Electronic Filing effectuates service for the
registered users in this situation and it is not necessary to note
service on those parties. Non-registered pro se filers are required to
file certificates of service on all documents they file.
(3) If an attorney is exempt from electronic service, a certificate of
service must be filed stating the manner in which service or notice
was accomplished on the exempt attorney. The Notice of Electronic
Filing effectuates service for the registered users in this situation and
it is not necessary to note service on those parties.
(v) E-mailing or faxing a pleading or document to any party shall not
constitute service of the pleading or document.
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(G) Signatures
(i) Non-Attorney Signatures Generally. If the original document requires the
signature of a non-attorney, the filing party shall obtain the signature of the
non-attorney on the document.
(1) The filing party or attorney then shall file the document electronically
indicating the signatory’s name in the form “s/(name).”
(2) A non-filing signatory or party who disputes the authenticity of an
electronically filed document or the authenticity of the signature on
that document must file an objection to the document within ten days
of receiving the Notice of Electronic Filing.
(ii) Defendant Signatures in Criminal Cases. A document containing the
signature of a defendant in a criminal case will be filed in a scanned
format that contains an image of the defendant’s signature.
(iii) Registered User Signature. The username and password required to file
documents on the Electronic Filing System serve as the filing user’s
signature on all electronic documents filed with this Court for purposes of
the Federal Rules of Civil Procedure (including Rule 11), the Federal
Rules of Criminal Procedure, the Local Rules of this Court, and any other
purposes for which a signature is required in connection with proceedings
before the Court. A pleading requiring a registered user’s signature must
include a signature block in the following format:
s/Attorney’s typed name s/Registered pro se litigant’s name
Attorney for [pltf/deft] pro se
Firm Name Address
Address Telephone Number
Telephone Number Email Address
Email Address
For certificates of service, affidavits, affirmations, and declarations only,
the signature block may be in the following format:
s/registered user’s typed name
Any party challenging the authenticity of an electronically filed document
or the attorney’s signature on that document must file an objection to the
document within ten days of receiving the Notice of Electronic Filing.
(iv) Multiple Signatures. The following procedure applies when a stipulation or
other document requires two or more signatures:
(1) The filing party shall initially confirm that the document is acceptable
to all persons required to sign the document and shall obtain the
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signatures of all parties on the document.
(2) The filing party or attorney then shall file the document electronically
indicating the signatories, e.g., s/Jane Doe, s/John Smith, etc.
(3) A non-filing signatory or party who disputes the authenticity of an
electronically filed document containing multiple signatures or the
authenticity of the signatures themselves must file an objection to the
document within ten days of receiving the Notice of Electronic Filing.
(v) Originals of all documents containing signatures must be retained by the
filing party and made available, upon request, to the Court and other
parties for a period of one year following the expiration of all time periods
for appeals.
(H) Fees Payable to the Clerk
(i) Any fee required for filing of a pleading or paper in District Court is
payable to the Clerk of Court by check or money order. In addition, when
opening a civil case online, filing a notice of appeal online, or applying to
appear pro hac vice online, the fees shall be paid online by registered
users through pay.gov. Users will be directed to pay.gov while entering
their transaction and should have a credit card available. When opening a
civil case and applying to proceed in forma pauperis or when the United
States of America opens a case, the payment screen can by bypassed to
complete the transaction. Additional information on making electronic
payments can be located on our website: www.nywd.uscourts.gov.
(ii) Case filing fees that are due after case opening, such as when application
to proceed in forma pauperis is denied, may be paid only by check or
money order that is hand-delivered or mailed to the Clerk of Court.
(I) Title of Docket Entries
The party electronically filing a pleading or document shall be responsible for
designating a docket entry title for the document by using one of the docket
events prescribed by the Court.
(J) Stipulations
Pursuant to Local Rule of Civil Procedure 29 and 41, and Local Rule of
Criminal Procedure 49.3, all stipulations (regardless of whether it requires a
judge’s signature) shall be filed electronically.
(K) Filing Letters Electronically
(i) Letters may be filed electronically pursuant to Local Rule of Civil
Procedure 5.1(h) – please note that judges preferences can be located on
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our website: www.nywd.uscourts.gov. If the letter makes a request (such
as requesting an extension of time) and the judge permits letters, file it
using the Motion event with appropriate relief selected.
(ii) Letters to the Court from attorneys that are submitted manually will not be
entered on the docket and marked filed unless directed by the Judge.
(iii) Letters to the Court from pro se filers that are submitted manually:
(1) Civil Cases: will be entered on the docket and marked filed.
(2) Criminal Cases: will not be entered on the docket and marked filed
unless directed by the Judge.
(L) Proposed Orders
(i) Other than Discovery Plans, proposed orders may only be filed on the
system as attachments to motions or other filed documents. In addition,
proposed orders should be attached to an e-mail sent to the chambers of
the assigned judge. No other documents, pleadings or electronic
communications may be sent to the above e-mail addresses unless prior
approval has been granted. The e-mail addresses are as follows:
Chief Judge Wolford
[email protected]
Judge Geraci
[email protected]
Judge Vilardo
[email protected]
Judge Sinatra
[email protected]
Judge Larimer
[email protected]
Judge Siragusa
[email protected]
Judge Arcara
[email protected]
Judge Skretny
[email protected]
Judge Reiss
[email protected]
Judge Sessions
[email protected]
Judge Schroeder
[email protected]
Judge Payson
[email protected]
Judge McCarthy
[email protected]
Judge Roemer
[email protected]
Judge Pedersen
[email protected]
Judge Foschio
[email protected]
Judge Feldman
[email protected]
(ii) All proposed orders must be emailed in a format compatible with Microsoft
Word, which has a “Save As” option, as is true with most word processing
software. Judges will not accept proposed orders in PDF format.
(iii) Proposed Discovery Plans or Case Management Orders may be e-filed
using the Discovery Plan filing event.
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(M) Orders and Judgments
(i) All signed orders and judgments will be electronically filed by the Court.
Any electronically signed order or judgment has the same force and effect
as a conventional order or judgment. Sealed orders and orders on sealed
cases will be mailed via the U.S. Postal Service to all registered users,
and pro se litigants and attorneys exempt from electronically filing (and
receiving) documents.
(ii) The assigned judge, if appropriate, may issue routine orders by a text-only
entry upon the docket. In such cases, no PDF document will issue; the
text-only entry shall constitute the Court’s only order on the matter.
(iii) Immediately upon the entry of an order or judgment in an action assigned
to the Electronic Filing System, the clerk will transmit to the filing users in
the case, in electronic form, a Notice of Electronic Filing. Electronic
transmission of the Notice of Electronic Filing constitutes the notice
required by Fed.R.Civ.P. 77(d) and Fed.R.Crim.P. 49(c). The clerk must
give notice in paper form to a person who has not consented to electronic
service in accordance with the Federal Rules of Civil Procedure.
(N) Appeals
(i) In Civil and Criminal cases, appeals to the Second Circuit Court of
Appeals are entered and automatically transmitted to the Clerk of the
Second Circuit via the Notice of Appeal event in CM/ECF.
Within 14 days of filing the Notice of Appeal, the appellant is required to
electronically file with the District Court an index of filed documents it
wishes the Court of Appeals to consider, called Designation of the Record
on Appeal. After receipt, the Clerk’s Office will certify and transmit the
index to the Circuit.
(ii) Appeals of a Magistrate Judge decision to the District Court should be
entered on the system using the event related to case type. If an appeal
is filed on an MJ case, the Clerk’s Office will follow-up by opening a
miscellaneous criminal case assigned to a randomly selected district
judge.
(1) CR case type: Appeal of Magistrate Judge Decision to District Court
– Criminal Case
(2) MJ case type: Appeal of Magistrate Judge Decision to District Court
– Magistrate Judge Case
(3) CV case type: Appeal of Magistrate Judge Decision to District Court
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Objections to a Magistrate’s Report and Recommendation are not
considered appeals and should not be filed as such. Objections to an
R&R may be filed using the event of the same name.
(iii) Appeals of an order or judgment from the Bankruptcy Court must be
initially filed with the Bankruptcy Court. The Clerk of that court will
transmit the necessary information to the District Court Clerk to open a
case and randomly assign a district judge to the appeal.
(O) Correcting Docket Entries
(i) Once a document is submitted and accepted, it becomes part of the case
docket. The System will not permit non-court electronic filers to make
changes to the document(s) or docket entry.
(ii) 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, entering the incorrect case number or not catching the error
before the transaction is completed. The filing party should not attempt
to re-file the document.
(iii) As soon as possible after an error is discovered, the filing party should
telephone the Clerk’s Office (Buffalo: 716-551-1700 or Rochester: 585-
613-4000) 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 user will be
advised if the document needs to be re-filed. In such cases, the Court will
make a determination on the timeliness of the re-filed document. The
Clerk’s Office will never delete an entire entry from a docket. When
entries are corrected, the Clerk’s Office will enter a remark on the docket
in the form of an e-filing notification which will summarize the correction.
It will also advise if further action is required by the filing user.
(iv) If a document containing information that is confidential or should have
been redacted by the filer is entered on the system by a filing user, the
filing user must contact the Clerk’s Office immediately to notify court staff
of the error. The Clerk will temporarily restrict the entry to court users and
parties only and will contact the courtroom deputy for guidance.
(P) Privacy
In all filings, parties shall comply with Federal Rule of Civil Procedure 5.2 or
Federal Rule of Criminal Procedure 49.1.
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(Q) Manual Opening of Certain Types of Cases
Miscellaneous Civil, Miscellaneous Criminal, Sealed and Criminal cases should
be opened manually, which is to say delivered to the Clerk’s Office and
processed by court staff. If such cases are sealed, they will not be available
electronically, except to court users, until such time as they are unsealed by
order of the Court. An optical disc (CD or DVD) with all opening documents in
.pdf format (as separate files on the disc) should accompany the paper originals
of the documents.
(R) Manual Filing of Documents
The following procedures govern documents filed manually (by delivery of
tangible object to the Clerk’s Office). The Court, upon application, may also
authorize manual filing of other documents.
If the manually filed document is larger than 5 pages, an optical disc (CD or
DVD) should be provided to the Clerk’s Office which contains the document in
.pdf format. In many instances, the Clerk’s Office will upload the documents to
the docket, with default electronica access only for court users.
(i) Documents filed Under Seal.
(1) Non-redacted documents filed with the Court pursuant to the privacy
provisions of Federal Rule of Civil Procedure 5.2, Federal Rule of
Criminal Procedure 49.1 shall be submitted in a sealing envelope
with the following on the envelope.
Case name and number
Non-redacted version of document #__ e-filed on <date>
FILE UNDER SEAL
Court staff will add the non-redacted document to the docket as a
Sealed Unredacted Document filed on the same date that the
redacted version of the document was filed electronically by the
attorney.
(2) No document shall be filed under seal without approval by the Court,
except as authorized by statute or federal rule. A party seeking to file
a document under seal shall deliver a paper copy of the following
documents directly to the chambers of the assigned judge, without
electronically filing the same:
a. original document to be sealed;
b. a supporting affidavit setting forth the reasons as to why the
document should be placed under seal and, if appropriate, a
memorandum of law (“supporting materials”);
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c. an envelope (“sealing envelope”) large enough to accommodate
the proposed sealed item to which is affixed a label bearing the
case name, case number and the words “Sealed per Order of
Judge”; and
d. a proposed order granting the motion to seal.
In addition, the registered user shall electronically file a Notice of
Motion which shall identify the nature of the documents to be sealed,
but need not state the reasons why sealing is necessary. Motions by
the government to file a warrant under seal are excluded from this
requirement. In all other cases, a party seeking to be relieved of this
requirement or seeking to file an ex parte motion to seal shall contact
the chambers of the assigned judge for instructions.
If the motion to seal is granted, the assigned judge will sign the
sealing envelope and electronically file an order authorizing the filing
of the document under seal and provide the document to the Clerk’s
Office for filing. The assigned judge, in his or her discretion, may
also direct that the supporting materials be filed under seal. The
Clerk’s Office will electronically file the document(s) using the
SEALED DOCUMENT event, which does not allow the document to
by viewed electronically by anyone other than court users.
If the motion to seal is denied, the assigned judge shall enter an
order denying the motion and return the documents and supporting
materials to the moving party.
(ii) Fully sealed actions. When an entire case is sealed, whether by order of
the court or as authorized by statute or federal rule, sealing envelopes are
not required for the filing of individual documents on those actions.
However, filers are required to attach a cover page on the front of their
document/disc with the following information:
Case Name:
Case Number:
This action is fully sealed and this must be filed under seal
pursuant to (choose one) order of the court or as authorized
by statute or federal rule.
(iii) Magistrate Judge Consents. Pursuant to Fed.R.Civ.P. 73(b), parties’
filing consents to jurisdiction by United States Magistrate Judge will
continue to be treated as non-public documents until all parties have
consented. Therefore, parties must submit manually (in paper form)
and not electronically file their consent forms so that the consent is not a
public document. If all parties consent to the jurisdiction of a Magistrate
Judge, the Clerk will scan all consent forms which will then be
electronically filed by the Clerk and become a public document.
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Parties may submit, in paper form, the consent with original signatures or
a consent which contains signatures using the s/party or attorney's typed
name. If a consent is submitted with the s/party or attorney's typed name,
filers are reminded that pursuant to Section 2(B) of this Administrative
Guide original documents with signatures must be retained by the filing
party.
(iv) Pro Se Filers. Pro Se filers shall file paper originals of all initiating
documents, 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 these
original documents into an electronic file in the System. A certificate of
service is required for all documents a pro se litigant files with the court.
If a Pro Se filer is granted permission to register to electronically file
documents, they shall comply with the guidelines contained in this
document.
(v) Habeas Corpus Cases. Absent a showing of good cause, and except as
provided in Section 2(R)(4) above, all documents, notices and orders in
habeas corpus cases pursuant to 28 U.S.C. § 2254 will be filed and
noticed electronically, except as noted below.
(1) The state court record in habeas corpus cases may be electronically
filed. Alternately, it may be manually filed if scanning that set of
documents and filing or retrieving them electronically is impractical.
In such instance, the filing party shall enter a Notice of Manual Filing
and deliver a paper copy to the Clerk’s office on the same day. If the
administrative record is submitted for manual filing, the Clerk’s Office
will docket a text only event stating that the record was received and
is available in paper form at the Clerk’s Office.
(2) All original state court records submitted for manual filing must be
marked “ORIGINAL.” Upon the close of the appeal period after case
termination, the Clerk’s Office will return original records to the filing
party and make an entry on the docket noting the return of
documents. Photocopies (not stamped original) will not be returned.
(3) All other documents in the case, including briefs, will be filed and
served electronically unless the Court otherwise orders.
(4) Access to electronic records in Habeas Corpus cases is governed by
Federal Rule of Civil Procedure 5.2.
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(vi) Social Security Cases. Absent a showing of good cause, and except as
provided in Section 2(R)(4) above, all documents, notices and orders in
social security reviews will be filed and noticed electronically, except as
noted below.
(1) The administrative record in Social Security cases is typically
electronically filed, but may be manually filed and served if scanning
that set of documents and filing or retrieving them electronically is
impractical. In such instance, the filing party shall enter a Notice of
Manual Filing and deliver a paper copy to the Clerk’s office on the
same day. If the administrative record is submitted for manual filing,
the Clerk’s Office will docket a text-only event stating that the
transcript was received and is available in paper form in the Clerk’s
Office.
(2) All other documents in the case, including briefs, will be filed and
served electronically unless the Court otherwise orders.
(3) Access to electronic records in Social Security cases is governed by
Federal Rule of Civil Procedure 5.2.
(vii) Electronic access to sealed or restricted items
(1) Sealed documents docket entries and cases shall only be viewable
by court users. Attorneys, PACER, and Public Terminal users will
not have access to sealed entries or documents. If a docket entry is
sealed, the public docket will not show the entry on the docket sheet,
often leading to “skipped” document numbers. When a document is
sealed, attempts to access the document by an attorney, PACER, or
public terminal will be denied, with a message indicating that the
document or case is sealed.
(2) A judge may direct that access be granted to case participants or
applicable parties on specific cases. Only registered users will have
the ability to view sealed cases and documents when this access is
permitted. Full instructions on how to access restricted or sealed
documents are available on the Western District of New York
website.
(3) A judge may also direct that registered users be granted access to
electronically file documents on a sealed case. If such access is
granted, registered users are reminded that they must manually
serve all documents on all case participants in paper form. CM/ECF
does not electronically serve sealed documents on registered users.
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(S) Motion to Unseal Case or Document
A party seeking to have a sealed case or document unsealed must seek relief
by motion on notice.
A non-party moving to unseal a case or document shall file the motion and
supporting documents to open a miscellaneous civil case and pay the required
fee. The Clerk will assign a case number. The judge will be assigned after a
review of documents to determine any related cases. The Clerk will not provide
any information about sealed matters, including case name, number, or status.
(T) Bounce Back E-mails
If the Clerk’s Office receives a “bounce back” (i.e., an undeliverable e-mail)
notice from a registered user’s primary or secondary e-mail account, no follow
up will occur by Court staff. It is the registered user’s responsibility to update all
information as it pertains to the user’s account.
(U) Government Attorneys
(i) Upon request, CM/ECF logins/passwords are issued to attorneys
employed by the government. Upon transfer to different government
agencies, users must fax (716-551-1705) notification to the Clerk and
include updated U.S. mail and e-mail addresses.
(ii) Government users who leave government agencies and do not transfer to
other government agencies must fax notification to the Clerk so that their
accounts may be deactivated.
(iii) Government users associated with government agencies who leave
government practice must already be or become members of the Bar of
the Western District of New York in order to have continued access to
CM/ECF. Information on becoming a member of the Western District of
New York can be obtained on our web site at: www.nywd.uscourts.gov
(iv) Government agencies must also notify the Clerk when users leave the
agencies. A notice of substitution of counsel must be filed in order for a
government agency to receive future CM/ECF notices regarding case
activity associated with a user who is no longer with the agency.
(V) System Availability
Although parties may file documents electronically 24 hours a day, registered
users are strongly encouraged to file all documents during normal working
hours of the Clerk’s Office (8:30 a.m. to 5:00 p.m. Eastern Time).
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(W) Technical Failures
A filing user whose filing is made untimely as a result of a technical failure must
seek appropriate relief from the Court.
3. PUBLIC ACCESS TO THE SYSTEM
(A) Public Access at the Court.
A person may review at the Clerk’s Office filings that have not been sealed by
the Court. Only a registered user may file documents electronically. Electronic
access to the electronic docket and documents filed in the System is available
to the public 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.
Section 1914.
(B) Internet Access
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 civil cases, but excluding review of
calendars and similar general information. Parties’ initial access to a document
filed electronically is free of charge via the Notice of Electronic Filing (NEF).
Parties are encouraged to download or print the filed document when it is
initially accessed via the Notice of Electronic Filing generated by the System.
(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. Section 1914.
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4. Appendices
(A) WORKING WITH PDFs
The court requires a document filed in CM/ECF to be in a Portable Document
Format (PDF). To upload a document to the CM/ECF system in a PDF format,
a filer must have computer software that (1) enables a document’s conversion
to PDF from a word processor format or (2) reads a scanned copy of a
document and converts the image to PDF.
A PDF document filed in CM/ECF or submitted to the Court in addition to any
required paper copy of the document must be text searchable. The Court
deems any PDF that is not text-searchable to be non-conforming and the Court
may return or strike a PDF that is not text-searchable to a filer for resubmission.
A filer must also combine multiple PDFs in certain instances, alter a PDF’s
pagination so that it matches the way the filer initially paginated the submitted
document (i.e. make the page numbers properly text-searchable), and divide an
oversized PDF for appropriate submission in CM/ECF. Adobe Acrobat
Standard or Adobe Acrobat enables a user, among other things, to combine
multiple separate PDFs into one PDF as required. Either program also permits
necessary adjustment of a PDF’s default pagination which designates the first
page of a document as Arabic number 1 and continues with sequential Arabic
numbering even when the filer has paginated the document differently (e.g.,
when a filer paginates a brief’s table of contents and table of authorities with
Roman numerals and argument sections in Arabic numerals). Either program
also provides easy manipulation of a PDF so that it can be broken down when
its file size is too large.
The CM/ECF system accommodates Adobe Acrobat Version 5 and higher. If a
user’s computer does not meet this software requirement, a filer can obtain
Adobe Acrobat Reader, Adobe Acrobat Standard or Adobe Acrobat
Professional software from Adobe’s website.
Disclaimer: The Court does not promote any specific software and this content
is for informational purposes only.
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(B) Sample Certificate of Service.
United States District Court
Western District of New York
Case No.
Certificate of Service
I hereby certify that on _______________, I electronically filed the foregoing with
the Clerk of the District Court using its CM/ECF system, which would then electronically
notify the following CM/ECF participants on this case:
1.
2.
And, I hereby certify that I have mailed the foregoing, by the United States Postal
Service, to the following non-CM/ECF participants:
1.
2.
s/typed name
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(C) Standard Party Guidelines
If unsure how to enter a specific party name, please contact the Clerk’s Office for
guidance.
1. Corporate Names Enter the entire corporate name as it appears in the complaint in the last
name field. If the name is spelled out in the complaint, spell it out when entering the party. If it is
not spelled out, use abbreviations as they appear in the complaint.
Example: The Enrich Company, Inc.
Last Name: The Enrich Company, Inc.
ABC Corp.
Last Name: ABC Corp.
2. Social Security Cases Always enter the party name as Commissioner of Social Security.
Example: Department of Health and Human Services,
Michael J. Astrue, Commissioner of Social Security
Social Security Commissioner
Secretary of Health and Human Services
Last Name: Commissioner of Social Security
3. John Does If the complaint includes numerous John does, add as one party name. Never
add the numbers, letters or roman numerals to the party name - always add as party text.
Example: John Doe I-X
Last Name: Doe First Name: John
Party Text: I-X
John Doe Police Officers 1-10
Last Name: Doe First Name: John
Party Text: Police Officers 1-10
4. Estates
Example: The Estate of James Sentinel by Ann Smith
Last Name: Smith First Name: Ann
Party Text: Executor of the Estate of
Then create Alias:
Last Name: Sentinel First Name: James
Alias Code: dec
5. Individuals with Titles
Example: James S. Haviland, Warden of Attica Correctional Facility
Last Name: Haviland First Name: James
Middle Name: S.
Party Text: Warden of Attica Correctional Facility
6. Unknown Names
Example: Unknown Spouse of Jim Keller, if any
Last Name: Unknown Spouse, if any, of Jim Keller
7. Union Names
Example: Building Laborers Local 310 Pension Fund
Last Name: Building Laborers Local 310 Pension Fund
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8. Residences
Example: In the matter of 428 Main Street, Rochester, New York
Last Name: 428 Main Street, Rochester, New York
Party Text: In the matter of
9. Vehicles
Example: One 1992 Ford Focus VIN 141JC144N7136603
Last Name: One 1992 Ford Focus
Party Text: VIN 141JC144N7136603
10. Currency
Example: $1,000 in US Currency
Last Name: $1,000 in US Currency
11. Cities, Towns, etc.
Example: City of Buffalo
Last Name: City of Buffalo
State of New York
Last Name: State of New York
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