(a) Transfer and Assignment of Cases When a Defendant Has a Pending Supervised Release
Violation
(1) When a defendant has both (i) a pending supervised release violation and (ii) a
pending criminal case in this district and the defendant is the sole defendant charged
in the new criminal case, the pending criminal case will be transferred to the district
judge before whom the supervised release violation is pending.
(2) This rule is discretionary, and any judge may decline to accept the assignment or
transfer of a criminal case or pending supervised release violation under this rule.
(3) This rule applies to the assignment of cases regardless of whether the supervised
release violation is filed before or after the new criminal case charging the defendant
is filed.
(4) When either defense counsel or government counsel learn that a defendant has both a
pending criminal case and a pending supervised release violation, they shall notify
the district court of the pending supervised release violation and the pending criminal
case by filing a written notice using the Electronic Case Filing (ECF) System
advising the district court that the defendant has both a pending supervised release
violation and a new criminal case pending. The notice shall be filed in both the court
where the supervised release violation is pending and the court where the new
criminal case is pending.
APPENDIX A
Electronic Case Filing (ECF )
Policies & Procedures
UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF TENNESSEE
ELECTRONIC CASE FILING POLICIES
AND PROCEDURES MANUAL
INTRODUCTION
The District Judges of the United States District Court for Western District of Tennessee
formally adopted the Electronic Case Filing (“ECF”) portion of the United States Courts’
CM/ECF electronic case management and filing system at a District Court meeting held on
November 17, 2005. Mandatory electronic case filing thereby became effective for all court
filings in all cases as of January 1, 2006. The scope of cases affected includes both civil and
criminal cases active as of January 1, 2006 as well as those filed thereafter.
Implementation of electronic case filing has required the adoption of three Local Rules
(L.R. Nos. 5.1, 5.2, and 11.1), an enabling Administrative Order (A.O. 2005-27) and an
Administrative Order governing mandated redactions of personal information under the E-
Government Act of 2002 (A.O. 2005-28), each of which became effective on January 1, 2006.
These materials, along with others not mentioned, but bearing on the implementation of
electronic filing, can be found at the District Court’s Web site located at:
www.tnwd.uscourts.gov.
Additionally, the Clerk of Court was instructed by the District Judges to prepare an
“Electronic Case Filing Policies and Procedures Manual” (this document, also referred to as “the
ECF Manual”) setting forth an administrative outline governing the operation of electronic case
filing. Moreover, to further assist attorneys engaged in private practice as well as those working
for government agencies, the Clerk of Court has held training classes on-site at the Federal
Buildings in both Jackson and Memphis, Tennessee and off-site at various law firms requesting
in-house training. On-site training in both Jackson and Memphis continues and will be available
into the future to accommodate the needs of future attorneys and other users. An “Electronic
Case Filing Attorney User Manual” (“ECF User Manual”), which provides detailed step-by-step
instructions for using the ECF portion of CM/ECF has been published and distributed to all
training classes and is also available on the District Court’s Web site. The Clerk of Court has
designed a Power Point® presentation and a Web-based, on-line, real-time, hands-on training
course available to all users of ECF, where attorneys can practice ECF processes within a
training environment using real case data residing in a dummy-database.
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The District Court and the Clerk of Court express their appreciation to members of their
staff for so diligently pursuing the introduction of electronic filing in the Western District and
accomplishing in only a few months a technology project that usually requires a year or more to
implement. A number of other U.S. District Courts, including the U.S. District Court for South
Carolina and the District Courts for both Middle Tennessee and Northern Mississippi, among
others that we contacted and worked with, directly and indirectly contributed their accumulated
knowledge and experience with electronic filing and thereby helped direct our activities.
Finally, special appreciation goes to the Administrative Office of the U.S. Courts for providing
to this District Court a number of highly qualified technical and operational experts who devoted
themselves to this project on-site in Memphis and otherwise and thereby greatly accelerated our
task.
Comments, questions, criticisms and suggestions regarding the District Court’s policies
and procedures as well as other aspects of this new electronic filing system should be directed to
our Web site’s ECF Coordinator, and materials can always be sent directly to the Clerk of Court:
Thomas M. Gould, Clerk of Court, Federal Building, Suite 242, 167 North Main Street,
Memphis, Tennessee 38103.
Thomas M. Gould, Clerk of Court
United States District Court
Western District of Tennessee
December 1, 2016
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TABLE OF CONTENTS
1. Definitions............................................................................................................................. 6
2. Scope of Electronic Filing .................................................................................................... 7
2.1 Cases Subject to Electronic Filing ............................................................................7
2.2 Submission of Scanned Documents and Documents on Disk or CD-ROM ............. 7
2.3 Initiation of Actions.................................................................................................. 8
2.4 Consent to Electronic Service...................................................................................8
2.5 Removed Cases ........................................................................................................ 8
2.6 Scope ........................................................................................................................ 9
3. ECF Participation, Registration, and the Use of Passwords ................................................. 9
3.1 Participation.............................................................................................................. 9
3.2 Attorneys Excused from Participation .................................................................... 10
3.3 Pro Se Participation ................................................................................................ 11
3.4 Registration ............................................................................................................ 11
3.5 Passwords ............................................................................................................... 11
4. Court’s Electronic Signature and Entry of Court Orders and Related Papers ....................12
4.1 Filing and Entry of Orders .....................................................................................12
4.2 Signing of Electronic Orders .................................................................................. 12
4.3 Proposed Orders ..................................................................................................... 13
5. Notice of Court Orders, Judgments, and Hearings .............................................................13
6. Consequences of Electronic Filing .....................................................................................14
6.1 Filing and Entry...................................................................................................... 14
6.2 Official Record ....................................................................................................... 14
6.3 Timeliness .............................................................................................................. 14
7. Attachments and Exhibits ................................................................................................... 15
7.1 Electronic Submission Required............................................................................ 15
7.2 Excerpts ................................................................................................................. 15
7.3 Filing of Original Depositions ............................................................................... 15
7.4 Bookmarks and Hyperlinks ................................................................................... 16
7.5 Filing of Transcripts .............................................................................................. 16
7.6 Filing of Affidavits ................................................................................................ 18
8. Sealed Documents .............................................................................................................. 18
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8.1 Filing of Motions and Other Documents ............................................................... 18
8.2 In Camera Submissions ......................................................................................... 19
8.3 Ex Parte Submissions ............................................................................................ 19
9. Document Retention Requirements ................................................................................... 19
10. Electronic Signatures of E-Filers ....................................................................................... 19
10.1 Effectiveness of Electronic Signature .................................................................... 19
10.2 Identifying Information Required .......................................................................... 20
10.3 Misuse of E-Filer Login and Passwords ................................................................ 20
10.4 Multiple Signatures ................................................................................................ 21
10.5 Signatures of Persons Other Than E-Filers ............................................................ 21
11. Service ............................................................................................................................... 22
11.1 Service of Process (Summons) .............................................................................. 22
11.2 Service of Other Papers ......................................................................................... 22
11.2.1 Service on E-Filer and Pro Hac Vice Participants ..................................... 22
(a) Automatic Service ......................................................................... 22
(b) Content of Notice of Electronic Filing........................................... 22
(c) Failed Transmission of NEF ......................................................... 22
11.2.2 Service on Persons Other Than E-Filers .................................................... 23
11.2.3 Time to Respond Under Electronic Service ............................................... 23
11.3 Certificates of Service are Still Mandatory Despite Issuance of NEFs .................. 23
12. Transmission and Technical Failures, Completed but Defective Filings, and Erroneous
Filings ................................................................................................................................ 24
12.1 Failed Electronic Filings Attributable to Technical Problems
on the E-Filer’s End ............................................................................................... 25
12.2 Failed Electronic Filings Attributable to Technical Problems
on the Court’s End ................................................................................................. 25
12.3 Completed but Defective Filings ........................................................................... 26
12.4 General Provisions Regarding Failed Electronic Filings ....................................... 27
12.4.1 ECF Help Desk .......................................................................................... 27
12.4.2 The Alternative Method of Submission is not in Itself a Proper Filing .... 27
12.4.3 Methods of Alternative Submission........................................................... 27
12.5 Erroneous Filings ................................................................................................... 27
13. Public Access and Sensitive Information ........................................................................... 28
13.1 PACER Access Different from ECF Access ......................................................... 28
13.2 Limited Access Cases ............................................................................................ 28
13.3 Sealed Cases and Documents ................................................................................ 29
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13.4 Privacy.................................................................................................................... 29
13.4.1 Compliance with E-Government Act of 2002 (as Amended) .....................29
13.4.2 Redaction of Certain Personal Identifiers ...................................................29
13.4.3 Protection of Other Sensitive Information ..................................................30
13.4.4 Compliance and Sanctions .........................................................................30
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1. Definitions
1.1 ECF User Manual means the Western District of Tennessee’s ECF Attorney User
Manual. All E-Filers are required to periodically check the court’s Web site for
updates to the ECF User Manual. See www.tnwd.uscourts.gov.
1.2 Electronic Case Filing (ECF) System refers to the Western District of Tennessee’s
automated system for receiving and storing documents filed in electronic form. This
program is part of the Case Management/Electronic Case Files (CM/ECF) software
developed by the Administrative Office of the United States Courts.
1.3 E-Filer is an attorney who has a court-issued login and password allowing electronic
filing of documents on the ECF System. Only attorneys admitted in this district or
counsel in multi-district litigation transferred to this district may be E-Filers.
1.4 Local Rules means the Local Civil Rules and Local Criminal Rules for the Western
District of Tennessee.
1.5 Notice of Electronic Filing (NEF) is a notice automatically generated by the ECF
System at the time a docket entry, with or without a hyperlinked document, is created
in the system. This notice sets forth the time of filing, text of the docket entry, and
name of the party and/or attorney(s) required to receive the notice. If a PDF
document is attached to the docket entry, the NEF will also identify the person filing
the document, the type of document, and a hyperlink to the filed document. The
hyperlink will allow recipients one opportunity to view and download the document
without cost. See infra §§ 2.4 (Consent to Electronic Service), 5 (Notice of Court
Orders, Judgments, and Hearings), and 11.2.1 (Service on E-Filer and Pro Hac Vice
Participants).
1.6 PACER (Public Access to Court Electronic Records) is an automated system that
allows an individual to view, print, and download court docket information over the
internet. See infra § 3.4 (Web site address for PACER).
1.7 PDF refers to a Portable Document Format file. To be filed electronically, a
document must be converted to a portable document format. Converted documents
must contain the “.pdf” file extension.
1.8 Pro Hac Vice Participant is an attorney admitted pro hac vice and who is registered
to receive Notice of Electronic Filings in the specific cases for which they are
admitted.
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1.9 Proposed Order is a draft document submitted for a District Judge’s or Magistrate
Judge’s signature. See infra 4.3 (Proposed Orders).
1.10 Technical Failure is defined as a malfunction of court-owned or court-leased
hardware, software, or telecommunications facilities which results in the inability of
an E-Filer to submit a court filing electronically. Technical Failure does not
include malfunctioning of an E-Filer’s equipment, hardware, or software. See
infra §§ 11.2.1(c) (Failed Transmission of NEF) and 12 (Transmission and Technical
Failures).
1.11 Traditional Filing Method means filing original documents bearing the electronic
signature(s)of the attorney(s) (s/name) or the ink signature of a pro se party.
1.12 Traditional Service means service of a paper copy of a document using the forms
of service authorized under the Federal Rules of Civil Procedure and the Federal
Rules of Criminal Procedure.
2. Scope of Electronic Filing
2.1 Cases Subject to Electronic Filing
All civil, criminal, and miscellaneous cases shall be managed using the ECF System.
E-Filers shall file all documents electronically on the ECF System, except as
expressly provided herein or by order of court. The requirement to file all court
documents electronically applies to all cases that have been opened prior to January
1, 2006 and to all cases that are filed after that date. The only exception will be cases
in which E-Filers have obtained leave of court to file in a different manner.
2.2 Submission of Scanned Documents and Documents on Disk or CD-ROM
In the event that an E-Filer files a court document by filing a scanned version of that
document, which document must be presented to the court in PDF format, including
documents filed as attachments to electronic documents filed through the ECF
System as well as documents filed directly through computer equipment available
in the Clerk’s Office, the E-Filer certifies the legibility and reproducibility of that
document. E-filers submitting documents on disk or CD-ROM shall ensure that the
media utilized is virus-free. Submission of documents on disk or CD-ROM is not
the preferred method of filing and will be utilized only with court approval.
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2.3 Initiation of Actions
The filing of initial papers shall be accomplished electronically under procedures
outlined in the ECF User Manual and the Electronic New Civil Case Opening
Handbook, available on the court’s website (www.tnwd.uscourts.gov).
2.4 Consent to Electronic Service
Registration as an E-Filer or Pro Hac Vice Participant in the Western District of
Tennessee constitutes consent to electronic service of all documents, except for
service of a summons and complaint under Fed. R. Civ. P. 4. Registration as an E-
Filer or Pro Hac Vice Participant also constitutes consent to the alternative methods
of service provided in the event of a Failure of the Notice of Electronic Filing or in
the event of a Technical Failure. A document filed electronically through the ECF
System is deemed to have been served on all E-Filers and Pro Hac Vice Participants
who ought to be served or noticed in the pertinent case upon transmission of the NEF
indicating that the document was sent electronically. The effective date and time for
such electronic filing and service shall be that which is electronically stamped on the
NEF.
2.4.A. Consent to Electronic Service of Documents not Filed through ECF
Attorneys practicing in this district who are also ECF registrants may, but are not
required to, utilize electronic service of documents when sending case-related
materials not otherwise filed through the Clerk’s Office to opposing counsel. An
example of material exchanged between attorneys but not directly filed through the
ECF system would be discovery documents and data. If an attorney elects to use
electronic service of such materials it must be effectuated by email attachment sent
to opposing counsel’s email address. Any attorney registered as a user of the ECF
system is hereby mandated to accept such electronic service of case-related
documents in lieu of the delivery of physical copies. Non-ECF attorneys, as well as,
self-represented litigants, must be served physical copies of such case-related
materials in the traditional manner.
2.5 Removed Cases
In a case removed from state court to federal court, the E-Filer is required to file
electronic copies of all documents previously filed in the state court together with the
electronically filed Notice of Removal. Since many, if not all, of the documents
previously filed in the state court action may not be available electronically, it is
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permissible to file them in a scanned version so long as they are scanned to a PDF
format.
2.6 Scope
Nothing in this ECF Manual supersedes the Federal Rules of Civil Procedure (Fed.
R. Civ. P.), the Federal Rules of Criminal Procedure (Fed. R. Crim. P.), this
District’s Local Rules, as modified for the implementation of ECF (See Local Rules
5.1, 5.2, and 11.1) or any order of this court.
E-Filers are urged to read the Policy and Procedures Manual in conjunction with the
ECF Attorney User Manual and Electronic New Case Opening Manual, as the latter
provides the step-by-step procedures for executing the procedures described in this
Manual.
3. ECF Participation, Registration, and the Use of Passwords
3.1 Participation
Unless excused as set forth below, all attorneys who are members of and practicing
in the Western District of Tennessee shall register as E-Filers. All attorneys
appearing in Western District cases as Pro Hac Vice Participants must register as E-
Filers concurrent with obtaining leave to appear Pro Hac Vice prior to filing any
documents in this District.
ADMISSION METHODS:
Go to the court’s website: www.tnwd.uscourts.gov
Choose Forms & Applications - Notice of Intent to File Attorney Admission OR
Motion for Pro Hac Vice and follow instructions on the form. You will receive, via
email, an ECF login and password.
1. Full Bar Admission - If you are filing for full admission, download the
Application for Attorney Admissions without Personal Appearance, and e-
file completed form into case YEAR-zz-9999 (e.g., in 2016 file in 16-zz-
9999). You will be prompted to pay the admission fee through the Pay.gov
system. If you choose the form Application for Admission to the Bar,
complete the form, then contact the Office of the Clerk to arrange for an in
person open court admission date. The current admission fee is $231.00.
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2. Pro Hac Vice Applicants - download Motion for Leave to Appear Pro Hac
Vice, and e-file completed form into the appropriate case, along with a
Certificate of Good Standing of the highest court in which admitted, and
email a proposed order to the presiding judge’s ECF mailbox. The proposed
Order must be in word processing format and all other forms in a PDF
format. The filing fee of $150.00 will be paid during the filing process via
Pay.gov. If the motion is denied, the applicant will either reapply or do
whatever the court’s order directs.
Please note that an attorney’s failure to register as an E-Filer, unless otherwise
excused from doing so, will preclude that attorney from receiving NEFs in any case.
Further, even if an attorney is excused from ECF registration, that attorney, if
appearing in a case, will be required to effectuate service of court papers in the
traditional methods and will be barred from utilizing free and immediate electronic
service through the Clerk’s Office. Once that ECF registration is complete, an E-
Filer may not withdraw from participation in the ECF System, except by order of the
court.
3.2 Attorneys Excused from Participation
Attorneys shall be excused from participation in the ECF System only upon order of
court pursuant to motion demonstrating a showing of good cause as to why the
attorney should not be required to participate. Among other relevant factors, such
showing shall require attorneys to establish that ECF participation would impose a
substantial and undue hardship. Requests to be excused shall be submitted to the
Clerk of Court and shall be accompanied by affidavits establishing the basis of the
claim of hardship, and the authority to grant such requests is vested in the Chief
Judge of this District. As noted above, attorneys excused from participation shall file
and be served using the traditional filing methods.
3.3 Pro Se Participation
A party who is not represented by an attorney shall file papers in the traditional filing
method either by personal delivery to the clerk’s office or via mail. An attorney
member of the Western District Court Bar who represents himself or herself Pro Se
is NOT exempt from the electronic filing of documents, unless he or she has been
otherwise excused by order of court from the electronic filing of documents due to
substantial and undue hardship.
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3.4 Registration
To register as a E-Filer, an attorney must: (1) establish a PACER account
(Information on registering to use PACER can be found at
http://pacer.psc.uscourts.gov. ); (2) complete and submit the ECF Registration Form
available on the District Court’s Web site and return it via fax transmission or e-mail
to the Clerk’s Office (Registration Forms may also be delivered by mail, addressed
to: ECF Registration Coordinator, U.S. District Court, Federal Building, 167 N.
Main Street, Suite 242, Memphis, TN 38103 OR ECF Registration Coordinator, U.S.
District Court,111 S. Highland Avenue, Room 262, Jackson, TN 38301); and (3) have
one or more valid, current Internet e-mail addresses to which NEFs can be sent.
Please consult the ECF User Manual for more details.
It is the responsibility of all E-Filers (full bar and pro hac vice members) to notify
the Clerk’s Office about a change of name, address, phone, or facsimile phone in a
timely manner. The notice must be in writing and may be submitted either by mail,
facsimile, or e-mail to
[email protected].
It is also the responsibility of all E-Filers (full bar and pro hac vice members) to keep
their e-mail addresses current in the ECF System. To make updates, on the ECF blue
menu line go to UTILITIES - Your Account. Under Your Account, choose the
option needing update and follow screen commands.
3.5 Passwords
Once the ECF Registration Form has been processed, the E-Filer will receive
notification of the E-Filer’s initial login and password. As further explained in the
ECF User Manual, upon receipt of his or her initial password, an E-Filer should
select a new password known only to that attorney. An E-Filer shall protect the
security of the E-Filer’s password since the ability to access an attorney’s ECF
account to effectuate an electronic filing is equivalent to providing that attorney’s
personal signature under Rule 11.
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4. Court’s Electronic Signature and Entry of Court Orders and Related Papers
4.1 Filing and Entry of Orders
All orders, decrees and judgments of the court will be electronically entered into the
case docket by the court or court personnel, and shall constitute an entry on the
docket for any and all rules and purposes under the Federal Rules of Civil and
Criminal Procedure. These orders, decrees and judgments may include electronically
signed documents separate from their related docket entry text, and the filing of such
orders, decrees, and judgments shall generate an NEF at the time of docketing.
The court may also issue routine orders by a text-only docket entry for which an NEF
will also be generated. In such routine orders, also referred to as “minute orders,”
no separate PDF document will be issued, and the text-only entry shall constitute the
court’s only order on the matter. Such text-only docket orders are official and
binding even without the production of any sort of separate signed, written, or
electronic document.
4.2 Signing of Electronic Orders
All court orders, including docket text-only minute-orders, decrees and judgments
shall be filed electronically by the court or court personnel. Electronically-filed court
orders and judgments shall have the same force and effect as if the judge had affixed
a signature to a paper copy of the document and the document had been entered on
the docket in the traditional manner. The judge's signature on an electronic order
shall appear as “s/ followed by the judge's name” (e.g., “s/Judge James J. Jones”)
typed on the signature line.
As further explained below (Section 10 of this manual), electronic signatures of non-
judicial E-Filers shall utilize the same format (e.g., “s/Martin R. Smith”) in lieu of
an ink-based signature.
4.3 Proposed Orders
There are special procedures for submitting proposed orders or other proposed
documents, and they are more fully explained in the ECF User Manual. Generally,
however, if an E-Filer files a motion that includes a proposed order or other proposed
document, the motion itself must be filed through ECF and the proposed order or
other document must be separately sent via e-mail to the presiding judge’s ECF
mailbox.
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The proposed order or other proposed document must be in a word processing format
and NOT pdf. When proposed orders are submitted to the presiding judge’s ECF
mailbox, it should be noted in the filing of the motion in ECF. Please add, proposed
order submitted at the screen that reads Docket Text: Modify as Appropriate, and
e-mail a word-processing version of the proposed order to the appropriate judge
assigned to the case. E-mail addresses are listed on our website,
www.tnwd.uscourts.gov.
Note:
The procedure for submitting proposed orders and documents to the presiding
judge’s mailbox pertains only to the proposed document and NOT to the various
attachments that often accompany a motion. Documents associated with a motion
should be electronically filed through ECF with the motion itself, as attachments to
that motion. Do not send those attachments to the e-mail address being used for
proposed orders. E-Filers are also strongly urged to adopt a precise naming
convention to clearly delineate the nature of every attachment associated with a filed
motion; that is, do not refer to those attachments merely as “Attachment 1,”
“Attachment 2,” and the like because it will likely be more difficult for the court to
find and evaluate those attachments. Refer to the User Manual, Adding Attachments.
5. Notice of Court Orders, Judgments, and Hearings
5.1 Immediately upon entering an order or judgment onto the docket in an action, the
Clerk of Court shall electronically transmit a “Notice of Electronic Filing” (“NEF”)
to E-Filers and Pro Hac Vice Participants in the case. Electronic transmission of the
NEF constitutes the notice required by the applicable provisions of the Federal
Rules of Civil and Criminal Procedure. Electronic notices of hearings will also be
sent by the Clerk of Court through ECF to E-Filers and Pro Hac Vice Participants.
5.2 The Clerk of Court must give notice of court orders, judgments, and court hearings
in paper form to pro se parties and to attorneys who have been excused by order of
court from ECF participation to the extent notice is required
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6. Consequences of Electronic Filing
6.1 Filing and Entry
Electronic transmission of a document to the ECF System, together with the
automated transmission of the Notice of Electronic Filing (NEF), in accordance with
the Local Rules and Administrative Orders authorizing electronic case filing and the
promulgation of these electronic filing policies and procedures (this manual) and the
provisions of the ECF User Manual, constitutes filing of the document for all
purposes under the Federal Rules of Civil Procedure, the Federal Rules of Criminal
Procedure, and this District Court’s Local Rules, and effects entry of the document
onto the docket maintained by the Clerk of Court under applicable Federal Rules of
Civil and Criminal Procedure.
6.2 Official Record
When a document is filed electronically, the electronic copy of that document
constitutes the official record in that case, and the electronically filed document is
binding as the official record. Later modifications of a previously-filed document or
docket entry are allowed only by the court or the Clerk's Office. An electronically
submitted document is deemed filed on the date and at the time stated on the system-
generated NEF.
6.3 Timeliness
Timeliness of electronic filing is based on local time in the Western District of
Tennessee (Central Standard Time). An electronic filing must be completed with a
court-generated NEF before midnight in the Central Time zone to be considered
timely filed on that calendar day. The time for a response after service by electronic
means is governed by Fed. R. Civ. P. 6(d) and Fed. R. Crim. P. 45(c). Nothing in
these policies and procedures should be construed to change or extend any deadlines
set by statutes of limitations prescribed by law, Federal Rules of Procedure, Local
Rules of this District Court, or orders of any judge in the District.
Note:
The exact date and time of an electronic filing is the exact date and time stated on the
system-issued NEF. Neither the time of commencement nor the time of completion
of an electronic filing has any bearing on the timeliness of that filing. The date and
time electronically affixed to the filing and as shown in the electronic NEF is solely
determinative of timeliness.
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7. Attachments and Exhibits
7.1 Electronic Submission Required
All documents referenced as exhibits or attachments to an electronically filed
document shall be submitted in electronic form, as electronic attachments to the main
document, subject to requirements and limitations described in the ECF User Manual
under Adding Attachments (e.g., the limitation of 10 MB in file size for each
attachment) or as otherwise ordered by the court on a case-by-case, event-by-event
basis.
7.2 Excerpts
An E-Filer shall submit as exhibits or attachments only those excerpts of referenced
documents that are directly pertinent to the matter under consideration by the court
together with the cover sheet or other excerpts necessary to identify the source of the
information (e.g., deposition cover page). Excerpted materials must be clearly and
prominently identified as such. E-Filers who file excerpts of documents as exhibits
or attachments under this provision do so without prejudice to their right to file
additional excerpts or the complete document. Responding parties or attorneys may
file the complete document or additional excerpts that they believe are directly
pertinent to the matter under consideration. The filing of transcripts and affidavits is
set forth in Sections 7.5 and 7.6 below.
7.3 Filing of Original Depositions
E-Filers shall not be required to file the original deposition from which excerpts were
drawn absent a court order to the contrary. If, however, an entire transcription of a
deposition is filed electronically, the E-Filer requesting same shall remain
responsible to see that (1) the Court Reporter submitting that transcription has
received instructions from the attorney regarding information that must be redacted
and (2) the requested redaction has been completed in compliance with the E-
Government Act of 2002.
7.4 Bookmarks and Hyperlinks
Electronically-filed documents may contain bookmarks to locations within the same
document. Hyperlinks to other documents or external sites are NOT permitted at this
time due to the risk of broken links and the possibility of introducing a virus or
malicious code from another website. It is anticipated that hyperlinks to external
sites for retrieving case opinions and other legal research materials will become
available in the near future.
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7.5 Filing of Transcripts
See Administrative Order 2008-35.
Transcripts must be submitted (but are not file-stamped) by Court Reporters
electronically in PDF format. These transcripts will not be in redacted form. The
transcript will not be accessible electronically via PACER for 90 days from the date
of filing. The transcript will be available for inspection only, free of charge, at the
office of the Clerk of Court via the public terminals. Copying of said transcripts will
not be permitted during the 90 day period. During this period, a copy of the transcript
may be obtained from the court reporter or transcriber at the rate established by the
Judicial Conference of the United States. Upon the Court Reporter filing the
transcript, CM/ECF will generate and serve all parties associated with a particular
case a Notice of Filing of the Office Transcript which will advise parties that they
have seven (7) calendar days from the filing date of the transcript to file a Notice of
Intent to Request Redaction of a Transcript and twenty-one (21) calendar days from
the filing date of the transcript to file the actual Request for Redaction.
Parties wishing to redact a transcript must inform the Court, by filing a Notice with
the Clerk via CM/ECF, of the party’s intent to redact personal identifiers, as required
by Federal Rules of Criminal Procedure 49.1 and Federal Rule of Civil Procedure
5.2, from the electronic transcript of the court proceeding. Within twenty-one (21)
calendar days of the filing of the transcripts a Request for redaction shall be filed via
the CM/ECF system and served on the Court Reporter. The request for redaction
shall indicate by page and line number the location of the personal data identifiers
for which redaction is being requested. Personal data identifiers include: individual’s
social security and taxpayer identification numbers, financial account numbers,
names of minor children, dates of birth, and in criminal cases, home addresses.
Requests for Redaction should be worded so that they do not include personal data
identifiers since they will be viewable on the public docket of the case record.
Parties seeking to redact personal identifiers other than those listed above shall file
a motion in accordance with this court’s local rules. A copy of the motion shall be
served on the Court Reporter by the party seeking the redactions.
Redaction responsibilities are solely the responsibility of the attorneys or pro se
litigants who attended the hearing to which the transcription applies. Each party is
responsible for reviewing and requesting redaction of testimony of witnesses that
were called for the party and for that party’s own statements. The Court has not
responsibility and is not staffed to verify that redactions are complete, so the E- Filer
should submit specific instructions to the Court Reporter preparing such transcripts
in order to ensure compliance with the E-Government Act of 2002 and to protect
against the disclosure of other sensitive personal, financial, and trade-secret
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information.
When the Notice of Intent to Request Redaction has been filed and subsequently a
Request to Redact is filed within the requisite twenty-one (21) calendar days
deadline, the Court Reporter shall redact the personal data identifiers as detailed in
the Request for Redaction to include compliance with the E-Government Act of
2002.
The Court Reporter shall then electronically file a redacted transcript with an
amended certification indicating that the transcript was amended by the redacted of
certain personal identifiers at the request of the parties. Parties who have made
financial arrangements with the Court Reporter will be given remote access to the
redacted transcript.
After the 90-day restriction period has expired, the filed transcript, or in the event of
redaction requests, the redacted transcript will be available for inspections and
copying at the Clerk’s office and for downloading form CM/ECF system via PACER.
If and when the redaction requests are made, the un-redacted version of the transcript
will NOT be accessible remotely, but will be available for inspection and copying
in the Clerk’s office. The requisite copy fees and PACER access fee will apply.
NOTE:
If the required redaction of a transcript renders that transcript unusable because of
the loss of specific information, the transcript should be filed by the E-Filer in both
un-redacted and redacted format. The redacted format will be used for public access
through ECF and the un-redacted format ought to be filed under seal so as to
preclude public display. Details concerning redaction are set forth in Section 13 of
this manual, in Administrative Order 2005-28, the ECF User Manual, and in various
teach material available on the District Court’s Web site.
7.5.1 Social Security Appeal Case Transcripts
(a) Submitted pursuant to Administrative Order 2006-05.
7.6 Filing of Affidavits
Affidavits must be electronically filed via the ECF filing system, The affidavit may
be a scanned PDF copy which should include a digitized signature of the affiant or
if redacted, the document must reflect “signature redacted”. The filer must also attest
that the original ink-signature affidavit is in the filer’s possession. It is the policy
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of this District Court that original, ink-signed affidavits should be maintained by
the filer for at least five (5) years after the pertinent case has concluded and should
be readily available if needed for evidentiary purposes.
8. Sealed Documents (See also Appendix A.)
8.1 Filing of Motions and Other Documents
It is the policy of this District Court, consistent with its past practice regarding paper
filings, that whenever an E-Filer desires to electronically file a document under seal,
the E-Filer may do so, and ECF has been designed to allow the filer to make that
option available whenever desired. The court will subsequently decide precisely
how long a sealed filing will remain under seal, but initially any document can be
filed under seal. Please consult the ECF User Manual for the mechanics of
effectuating a sealed filing.
Further, a document subject to an existing sealing order or sealing statute shall be
filed electronically under seal pursuant to those procedures set forth in the ECF User
Manual.
NOTE:
Any document filed under SEAL will not be accessible via PACER or the Court’s
public terminals. The Court’s electronic filing system will notify parties that a
Sealed Motion or Other Sealed Document has been filed via Notice of Electronic
Filing; however, the document will not be accessible. The submitting filer is
responsible for service of the Sealed Motion or Sealed Document on all opposing
counsel or parties.
8.2 In Camera Submissions
In Camera submissions shall be presented to the court by direct e-mail to the
presiding Judge’s ECF E-mail Account with notice or a copy to opposing counsel or
parties. (See Web site for e-mail addresses).
8.3 Ex Parte Submissions
Ex Parte Submissions should be submitted along with all associated documents
directly to the presiding Judge in the pertinent case via e-mail to that Judge’s ECF
e-mail box. Proposed Orders for Ex Parte Submissions shall be submitted in a word
processing format only. (See Web site for e-mail addresses).
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9. Document Retention Requirements
A document that is electronically filed and requires an original signature other than
that of the E-Filer, such as an affidavit, must be maintained in paper form by the E-
Filer and/or the firm representing the party on whose behalf the document was filed.
The document must be retained for no less than five (5) years after the time for all
appeals has expired or the judgment otherwise becomes final. On request of the
court, the E-Filer or law firm must provide the original document.
Such papers in criminal cases filed on behalf of the government shall be retained by
the Office of the United States Attorney or the United States Department of Justice.
On request of the court, the Office of the United States Attorney must provide the
original document for review.
10. Electronic Signatures of E-Filers
10.1 Effectiveness of Electronic Signature
The E-Filer’s User ID, password, and electronic signature, i.e., “s/ typed E-Filer’s
name,” serve as the E-Filer’s signature on all electronically-filed documents and for
all purposes under Fed. R. Civ. P. 11, all other Federal Rules of Civil and Criminal
Procedure, the Local Rules of this District Court, and any and all other purposes for
which a signature is required in connection with proceedings before the court.
Documents submitted under an E-Filer’s login and password must include an “s/
typed E-Filer’s name” in the space where the E-Filer’s ink-signature would otherwise
appear, and the failure to provide that electronic signature will render the filing
deficient.
Note:
In many law firms and governmental agencies an attorney might prepare and sign
paper-based documents for another attorney with who he or she is associated. In
terms of creating an effective electronic filing make sure that the login (being the
User ID and password) account is the exact same account of the individual who is
electronically signing the document being filed through ECF. A mismatch between
the login account and the electronic signature (“s/name”) will be grounds for
rejecting that filing.
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10.2 Identifying Information Required
An electronically-filed document must include a signature block and must set forth
the name, address, telephone, and e-mail address of the filing attorney along with the
BPR Registration Number. This signature block should look something like the
following:
s/ John Allen Smith
John Allen Smith, BPR#11222
Smith & Smith
100 North Main Street, Suite 1000
Memphis, TN 38103
(901) 123-4567
[email protected]
10.3 Misuse of E-Filer Login and Passwords
An E-Filer is solely responsible for and shall protect the security of the E-Filer’s
password-protected account. No E-Filer may knowingly or willfully permit or cause
an E-Filer’s login and password to be used by anyone other than an authorized agent
of the E-Filer. An E-Filer shall immediately notify the Clerk of Court if the E-Filer
learns or suspects that his or her login or password has been used without
authorization. An E-Filer may change his or her password without contacting the
court, using the procedures set forth in the ECF User Manual. An E-Filer is
responsible for overseeing non-attorney employees with respect to electronic filing
executed on the attorney’s behalf.
10.4 Multiple Signatures
A document requiring the signatures of more than one person shall be filed
electronically by a single E-Filer, unless otherwise ordered by the court or authorized
in the ECF User Manual.
The E-Filer who files the document does NOT need to obtain original signatures of
consenting signatories on a separate, paper copy of the document to be filed, though
there is no objection to the E-Filer doing so. The E-Filer submitting the consent
document should file the document electronically, clearly representing the consent
of the other signatories by an “s/ name of other consenting parties” typed in the space
where a signature would appear. It is strongly suggested that when multiple
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signatures are submitted in the above manner, the E-Filer should specifically state
the date and nature of such consents. For example, the consenting signature might
appear as:
“s/John Allen Smith (per telephone consent dated 12/22/10 at 3:00 PM)” or
“s/John Allen Smith (per email consent dated 12/22/10).”
A non-filing signatory or party who disputes the authenticity of an electronically-
filed document containing multiple signatures or the representation as to consent of
a named signatory must file an objection to the document within ten (10) days of
receiving the NEF applicable to that filing, unless additional time for disputing such
signatures is provided by court order. Since there is no requirement that an E-Filer
obtain ink-signatures when filing consent documents containing multiple signatures,
there is no retention period applicable to any hard copies of such document(s).
10.5 Signatures of Persons Other Than E-Filers
As previously discussed in Section 7 of this manual, documents containing the
signature of persons other than E-Filers, e.g., third-party affidavits, are to be filed
electronically as a scanned image. Original copies of scanned ink-signature
documents must be retained in compliance with the court’s retention requirements,
which is no less than five (5) years after the time for all appeals has expired or the
judgment otherwise becomes final.
11. Service
11.1 Service of Process (Summons)
Service of process must be made in accordance with Fed. R. Civ. P. 4, which does
not allow for electronic service of process or, generally, obtaining personal
jurisdiction through electronic means. See Fed. R. Civ. P. 4.
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11.2 Service of Other Papers
11.2.1 Service on E-Filer and Pro Hac Vice Participants
(a) Automatic Service
Upon the electronic filing of a pleading or other document, the court’s ECF System
will automatically generate and send a Notice of Electronic Filing (NEF) to all E-
Filers and to all Pro Hac Vice Participants associated with that case. Transmission
of the NEF constitutes service of the electronically filed document on E-Filers and
Pro Hac Vice participants. Service of the NEF on Pro Hac Vice Participants is
provided. See 11.2.2 re: Service on Persons other than E-filers.
(b) Content of Notice of Electronic Filing
The NEF will include, among other information, the time of filing, text of the docket
entry, and name of the party and/or attorney(s) required to receive the notice. If a
PDF document is attached to the docket entry, the NEF will also identify the person
filing the document, the type of document, and a hyperlink to the filed document.
The hyperlink will allow anyone receiving the notice by e-mail one opportunity to
retrieve and download the document without cost. Notwithstanding the above
description of an NEF, the precise content of an NEF shall be that information
automatically generated by the ECF system. Consult the various training materials
located at the District Court’s Web site for illustrations of a typical NEF.
(c) Failed Transmission of NEF
If the E-Filer becomes aware that the NEF was not transmitted successfully to other
E-Filers or Pro Hac Vice Participants, or that the notice is deficient, e.g., the hyperlink
to the document on the docket is defective, the E-Filer shall, upon learning of the
deficiency, serve the electronically-filed document by traditional means, such as e-
mail, hand delivery, facsimile, or first-class mail. Proof of such service shall be filed
with the court electronically within one (1) business day after service. An E-Filer
who becomes aware of a defective NEF should also immediately contact the
Clerk’s Office through the ECF Help Desk and notify them of such defect.
11.2.2 Service on Persons Other Than E-Filers
Pro Se parties and attorneys who are members of this District Court’s bar but are not E-Filers,
e.g., attorneys who have been excused from ECF participation by order of court, shall be
served with electronically-filed documents through traditional means of service. Service of
the electronically filed documents must be accompanied by a copy of the NEF and must
include a Certificate of Service that includes the names and addresses of all persons served
and the means of service on each person served.
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11.2.3 Time to Respond Under Electronic Service
In accordance with Fed. R. Civ. P. 6(d) and Fed. R. Crim. P. 45(c), service by electronic
means, even though immediate in nature, is NOT treated the same as service by mail, so
three (3) days are NOT added to the prescribed period to respond.
11.3 Certificates of Service are No Longer Mandatory
Except as provided in 11.2.2, Certificates of Service are not required for documents filed
through the ECF System which generate an NEF.
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12. Transmission and Technical Failures, Completed but Defective Filings, and
Erroneous Filings
Note:
This is a critical section for the E-Filer to understand because a failed electronic filing
can result in missed compliance deadlines or statutes of limitation, so E-Filers are urged
to review the various training materials available at the District Court’s Web site to
obtain more detailed procedures to follow in the event of a failed or defective electronic
filing. Generally, relief from electronic filings that have failed due to technical or
transmission problems is obtainable only through the court. Basically, there are three
areas to consider:
(1) Attempted electronic filings that fail due to technical difficulties on the E-Filer’s
end of the transaction, which would also include third-party failures such as cable
and telephone line disruptions;
(2) Attempted electronic filings that fail due to technical difficulties on the District
Court’s end of the transaction; and
(3) Completed electronic filings that incur no transmission failure but which are
nevertheless defective in form or content.
12.1 Failed Electronic Filings Attributable to Technical Problems on the E-Filer’s
End
If an E-Filer is unable to complete an electronic filing because of technical
problems on the filer’s end (or due to technical problems attributable to one of the
E-Filer’s suppliers, such as an Internet Service Provider or a cable or telephone
line company), the E-Filer can attempt to submit the proposed electronic filing in
another, more traditional manner (See Section 12.4.3 below) by filing a motion
for leave of court to file manually for good cause shown. The E-Filer might also
want to consider a request for an extension of time in case a court-imposed filing
deadline has lapsed because of this failure.
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Alternatively, the E-Filer can utilize the public computer facilities for last-minute
or emergency on-site electronic filing which are located in both Jackson and
Memphis (if there is no problem in doing so during the Clerk of Court’s regular
business hours). The Clerk of Court has developed procedures for handling these
on-site electronic filings or processing manual filings (if a motion for leave to file
in a non-electronic manner has been granted by the court). Please review the
training materials available on the Court’s Web site for further details.
******************************************************************************
WARNING!! The District Court has discretion to grant a motion for leave to file manually
and to extend a court-imposed filing deadline for good cause shown, but the District Court
has no discretion to extend a statute of limitations or other statutorily mandated deadline
because of a technical or transmission failure attributable solely to the E-Filer.
******************************************************************************
12.2 Failed Electronic Filings Attributable to Technical Problems on the Court’s
End
If an E-Filer is unable to complete an electronic filing because of technical or
transmission problems with the ECF System on the Court’s end, this would be
analogous to the courthouse not being available for filings due to exigent or
emergency circumstances. In that event, the deadlines for filing otherwise
applicable would be extended in accordance with Fed. R. Civ. P. 6, which would
determine the re-calculation of the new filing deadlines.
For purposes of this provision, the ECF System will be considered to be
unavailable for electronic filing if the Web site (which serves as the ECF portal)
is unable to accept filings continuously or intermittently for more than one (1)
hour occurring after 12:00 noon local time (Central Time zone) on any given day.
If an E-Filer experiences a technical failure preventing completion of an
electronic filing because of a problem with the ECF System, the E-Filer may elect
to submit the document to the Clerk of Court using one of the Methods of
Alternative Submission listed below (See Section 12.4.3 below). In that case, the
filed document must be accompanied by a certification, signed by the E-Filer, that
the E-Filer has attempted to file the document electronically at least twice, with
those unsuccessful attempts occurring at least one (1) hour apart after 12:00 noon.
This alternative submission might be made, for example, when the filer is
concerned about the mechanics of Rule 6 extensions.
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Note:
If a filer elects to file a document using an Alternative Method of Submission (as
defined in Section 12.4.3 below), the filer must still file an electronic version of
that document through the ECF System on a timely basis, which is more fully
described in Section 12.4.2 below, because Alternative Methods of Submission
are not deemed to be proper filings but are used merely to preserve filings dates
and times.
12.3 Completed but Defective Electronic Filings
The Clerk’s Office will examine most electronic filings as part of the ECF quality
control process. If a completed filing is defective for any reason, the E-Filer will
receive an automated Deficiency Notice describing the nature of the deficiency.
Examples of deficient filings might include a garbled or incomplete Internet
transmission, receipt of a document that on inspection is not what it was
purported to be, an electronic document that is missing a required signature, or a
motion with an attached proposed order. After the E-Filer receives a Notice of
Deficiency, he or she will have twenty-four (24) hours from the date and time of
the original filing to file a corrected document in order to preserve the date and
time stamp of the original, deficient filing. If the deficient filing is not corrected
within this 24-hour period, the original filing is no longer in effect for any reason
and can no longer be used to preserve its date and time stamp. Basically, no
document will have been filed relative to the subject matter of the first, deficient,
filing.
12.4 General Provisions Regarding Failed Electronic Filings
12.4.1 ECF Help Desk
The point of contact for an E-Filer who is experiencing technical difficulty
shall be the court’s “ECF Help Desk” at
[email protected]
as posted on the District Court’s Web site, in the training materials, and in
virtually all publications related to electronic filing in this District Court.
The court’s “ECF Help Desk” is open during regular business hours
(Monday through Friday from 8:30 AM until 4:30 PM, except on Federal
Holidays).
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12.4.2 The Alternative Method of Submission is not in Itself a Proper Filing
The non-electronic submission of a filing that, but for, the technical failure
of the ECF System should have been filed electronically shall be effective
only to preserve the time for filing. The subsequent electronic filing will
be deemed filed at the time the Alternative Method of Submission was
accomplished provided that the electronic filing is accomplished within
twenty-four (24) hours after the court’s technical failure is remedied.
12.4.3 Methods of Alternative Submission
In the event of a technical failure on the court’s end, the E-Filer may
preserve the time for filing, if the filer does not want to rely on re-
computing a new filing deadline under Fed. R. Civ. P. 6, by submitting the
document using one of the following Alternative Methods of Submission:
(a) Facsimile - through facsimile transmission of the entire document
to the Clerk's Office (utilizing facsimile number (901) 495-1250
for Memphis and (731) 421-9210 for Jackson; or
(b) Physical Presentation - by physically delivering a copy of the
document to the Clerk's Office regular business hours.
12.5 Erroneous Filings
In the event that an E-Filer successfully completes an electronic filing but has
mistakenly filed the incorrect document (as where, for example, an answer was
intended but a motion to extend time was filed or where confidential notes, such
as trial strategies, were mistakenly attached to a pleading or where a draft version,
vis-à-vis, a final version of a document was filed), the E-Filer can contact the
Clerk’s Office and request that the erroneous filing be sealed from public view
pending a resolution of the manner by the court. The E-Filer requesting the
sealing of an erroneous filing must provide an e-mail authorization to the Clerk’s
Office even if a verbal request for sealing has been made and acted on. If a
confirming e-mail is not received by the Clerk’s Office within twenty-four (24)
hours of the sealing request, the Clerk’s Office will un-seal the erroneous filing.
The sealing, once made, will remain in place indefinitely unless and until further
order of court directing that it be unsealed is obtained. Note that this sealing
request must be made during regular business hours and note further that even the
immediate sealing of an erroneous order will not prevent or eradicate the NEF
that was generated at the time of filing.
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13. Public Access and Sensitive Information
13.1 PACER Access Different from ECF Access
With limited exceptions (e.g., Social Security and ERISA cases), a person may
retrieve information from the ECF System through the court’s Internet Web site
by obtaining a PACER (“Public Access to Court Electronic Records”) login and
password. While only registered E-Filers may file documents using the ECF
System, any person, whether a registered E-Filer or not, who has PACER access
may retrieve docket sheets and documents in civil and criminal cases.
13.2 Limited Access Cases
Certain types of cases and documents may be designated as limited access due to
potential privacy issues arising from the contents of the filings. Examples might
include Social Security and ERISA cases and certain aspects of criminal cases.
Limited access cases on the ECF System shall be accessible by certain court
personnel and E-Filers for that case only, but any request for limited or special
access to cases not otherwise available to the public must be submitted to the
court for an appropriate order.
NOTE:
In order to view the documents in such cases, you must be an Attorney of Record
for said case and use both your ECF login and password and your PACER login
and password. If you are logged into CM/ECF and you access a document, it will
prompt you to enter your login and password again. At that time you would enter
your PACER login and password. If you are logged into PACER and you access
a document, it will prompt you to enter your login and password again. At that
time you would enter your CM/ECF login and password. The dual password use
is required for viewing restricted filings in criminal cases as well.
13.3 Sealed Cases and Documents
As discussed elsewhere, any case or document under seal shall not be available to
the public through electronic or any other means; however, attorneys may be
permitted access to sealed documents in cases in which they appear with
permission of the court.
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13.4 Privacy
Attorneys are responsible for ensuring that their clients have sufficient
information so that informed decisions are made regarding the inclusion,
redaction and exclusion of personal information in filings in this court.
13.4.1 Compliance with E-Government Act of 2002 (as Amended)
In compliance with the E-Government Act of 2002, a party or attorney
wishing to file a document containing the personal identifiers listed below
(See Section 13.4.2), or other sensitive information (See Section 13.4.3),
must provide a completely redacted electronic version of that document
for public viewing through ECF or PACER and, if the E-Filer so chooses,
an un-redacted version under seal to be retained and used by the court as
part of the record.
13.4.2 Redaction of Certain Personal Identifiers
To protect personal privacy and other legitimate interests, attorneys and
parties shall refrain from including, or shall redact where inclusion is
necessary, the following personal identifiers in all documents filed with
the court, whether filed electronically or otherwise:
(a) Social Security Numbers. If an individual’s social security
number must be included in a pleading, only the last fou
