United States District Court
Southern District of Texas
Administrative Procedures for Electronic Filing
in Civil and Criminal Cases
January 1, 2007
1. Scope of Electronic Filing
A. These procedures are intended to facilitate electronic filing and do not
supersede any federal or local rules of procedure.
B. All civil, criminal, and miscellaneous cases are covered by the Electronic
Filing System.
(1). Civil Cases. Except as expressly provided or unless permitted by the
presiding Judge, a Filing User is required to file electronically all
complaints, initial papers, petitions, motions, memoranda of law,
briefs, and other pleadings and documents filed with the court in
connection with a civil case.
(2). Criminal Cases. Except as expressly provided or unless permitted by
the presiding Judge, a Filing User is required to file electronically all
petitions, motions, memoranda of law, briefs, and other pleadings
and documents filed with the court in connection with a criminal
case. However, the following items shall be filed in conventional
paper form unless otherwise directed by the presiding judge: the
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charging documents, including the complaint, information, or
indictment; documents relating to requests for search warrants, wire
interceptions, pen registers, and other tracking devices; grand jury
proceedings; documents pertaining to eligibility for release under the
Bail Reform Act.
C. A Filing User filing an imaged document must verify the legibility of the
document.
D. A non-Filing User is not required to electronically file pleadings and other
papers in a case.
E. Pleadings and other papers not electronically filed (conventional filings)
will be imaged by the Clerk's Office and will become part of the electronic
record. However, the Clerk may determine that documents too voluminous
to be imaged, such as the records of proceedings in state court or social
security appeals, or any other documents or thing not capable of being
imaged will be filed and maintained in the conventional manner. After
imaging conventional filings, the Clerk will retain them in one master file
by date of filing for one (1) year, at which time they will be destroyed.
2. Eligibility, Registration, Passwords
A. Attorneys admitted to the bar of this Court, as well as those admitted pro
hac vice, are required to register as Filing Users of the Court's Electronic
Filing System. The registration form prescribed by the Clerk requires the
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Filing User's name, address, telephone number, internet e-mail address, and
a declaration that the attorney is admitted to the bar of this Court or
admitted pro hac vice. Registration as a Filing User constitutes consent to
electronic service of all documents as provided in these procedures and in
accordance with Rule Fed. R. Civ. P. 5(b)(2)(D) and Fed. R. Crim. P. 49(b).
B. Once registration is completed, the Filing User will receive notification of
the user log-in and password. Filing Users agree to protect the security of
their passwords and must immediately notify the Clerk if their password
has been compromised. Users may be subject to sanctions for failure to
comply with this provision.
C. An attorney may seek from the presiding Judge an exemption from being a
Filing User upon a finding of exceptional circumstances.
3. Consequences of Electronic Filing
A. Electronic transmission of a document to the Electronic Filing System
consistent with these procedures, together with the transmission of a Notice
of Electronic Filing issued by the Court, constitutes filing of the 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 of Court under Fed. R. Civ. P. 58 and 79, and
Fed. R. Crim. P. 49 and 55.
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B. When a document has been filed electronically, the official record is the
electronic recording of the document as stored by the Court, and the filing
party is bound by the document as filed. A document filed electronically is
deemed filed at the date and time stated on the Notice of Electronic Filing
issued by the Court.
C. Filing a document electronically does not alter the filing deadline for that
document. Filing must be completed before midnight, Central Time Zone,
in order to be considered timely filed that day, unless otherwise ordered.
4. Entry of Court-Issued Documents
A. All orders, decrees, judgments, and proceedings of the Court will be filed in
accordance with these procedures and will constitute entry on the docket
kept by the Clerk of Court under Fed. R. Civ. P. 58 and 79, and
Fed. R. Crim. P. 49 and 55. All signed orders will be filed electronically.
Any order or other court-issued document filed with an electronic or digital
signature of a Judge or Court Employee has the same force and effect as if
the Judge or Court Employee physically signed a paper copy.
B. A civil case summons may be signed, sealed and issued electronically,
although a party may not serve any summons electronically. The Court
may issue a criminal case warrant or summons electronically, but it must be
served in accordance with Fed. R. Crim. P. 4(c).
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C. A proposed order for electronically filed motions must be filed as an
electronic attachment to the motion, unless otherwise directed by the
presiding Judge.
D. Transcripts of court proceedings will be filed electronically by court
reporters and transcribers. Transcripts of sealed proceedings must be filed
under seal.
5. Attachments and Exhibits
Filing Users must submit in electronic form all documents referenced as exhibits
or attachments, unless the presiding Judge permits conventional filing. A Filing
User may submit as exhibits or attachments only those excerpts of the referenced
documents that are material to the matter under consideration. The source and
page numbers of excerpted material must be clearly and prominently identified,
and the length of the full source document must be disclosed. Responding parties
may timely file such additional excerpts or complete documents as they believe are
material. The presiding Judge also may require parties to file additional excerpts
or the complete document. Non-documentary exhibits to instruments should be
filed conventionally and also electronically, if they can be converted to a format
capable of electronic filing such as a photograph.
6. Sealed Documents
A. Filing Users must submit in conventional form all requests for in camera
proceedings.
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B. Civil cases:
(1). Under L.R. 83.6, Filing Users must ask the Court’s permission to file
a civil case under seal. Filing Users must electronically file the
request as a miscellaneous case, attaching to it a motion to seal the
complaint and the proposed sealed complaint.
(2). In unsealed civil cases, Filing Users may electronically file any
document under seal, subject to paragraph 6.E.
C. Criminal or miscellaneous cases:
(1). Filing users must electronically file the following documents under
seal:
a. Documents related to pre-sentence reports
b. Requests to Debrief
c. Motions for downward departure, including motions under
Fed R. Crim. P. 35(b)
d. Requests for continuances or other relief for cooperating
Defendants
e. Psychiatric reports
f. Ex Parte requests or advisories to the Court
g. Victim statements and other crime victim information.
h. Financial information regarding a Defendant
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(2). Filing Users may electronically file other documents under seal,
subject to paragraph 6.E.
D. Documents filed under seal will be kept by the Court in electronic form, but
will not be viewable by Filing Users or the public. Accordingly, any
document filed under seal must be conventionally served on all parties,
except Ex Parte requests.
E. The presiding Judge may order the sealing or unsealing of any document.
7. Document Format and Size Limitations
A. Parties are strongly encouraged to file text-only documents in electronically
created format, not in imaged form.
B. The current size limitation for electronically filed documents, including
exhibits or attachments, is 5 megabytes. While this limit will not likely
affect electronically created documents, in the case of imaged documents it
would be the equivalent of approximately 75 pages. Larger imaged
documents must be separated into 5 megabyte sections. As technology
develops in the future, the Court periodically will publish technical
instructions governing the electronic filing of unusually voluminous
pleadings, attachments, and exhibits.
C. Any Filing User encountering technical difficulties electronically filing
voluminous documents may choose to file them conventionally.
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8. Signatures and Retention Requirements
A. The user log-in and password required to submit documents to the
Electronic Filing System serve as the Filing User's signature on all
electronic documents filed with the Court. They also serve as a signature for
purposes of Fed. R. Civ. P. 11, the Federal Rules of Criminal Procedure, the
Local Rules of this Court, and any other purpose for which a signature is
required in connection with court proceedings. Electronically filed
documents must include a signature block in compliance with
Local Rule 11.3.A. The Filing User under whose log-in and password the
document is submitted must include an “s/” and the Filing User's typed
name in the space where the signature would otherwise appear.
B. Each password is personal to the Filing User, who shall not permit that
password to be used by anyone, including other attorneys, other than an
authorized agent of the Filing User.
C. Documents containing multiple persons' signatures.
(1). A Filing User who electronically files any document requiring the
signature of another individual must either (a) submit an imaged
document containing all the necessary signatures inserted by hand;
or (b) indicate all persons' signatures on the original document by
including on the filed document the designation “s/” followed by
each other individual's typed name.
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(2). A document containing the signature of a defendant in a criminal
case must be filed in an imaged format that contains an image of the
defendant's signature.
(3). Original documents containing original signatures of persons other
than the Filing User must be retained by the Filing Users until
expiration of three years after the time for all appeals in the case.
(4). A designation on a document that one person has affixed another
person’s signature “by permission” may be used under circumstances
when signing by permission would be acceptable on a
conventionally filed document.
9. Service of Documents by Electronic Means
A. The Notice of Electronic Filing that is automatically generated by the
Court's Electronic Filing System constitutes service of the filed document
on Filing Users. A Filing User may also notify another Filing User of
electronically filed documents by other means (e.g., fax, mail, personal
delivery), but the service date will still be determined by the Notice of
Electronic Filing. Parties who are not Filing Users must be served with a
paper copy of any electronically filed document in accordance with the
Federal Rules of Civil and Criminal Procedure, and the Local Rules of this
Court.
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B. A certificate of service must be included with all documents filed
electronically, reflecting that service on known Filing Users will be
automatically accomplished through the Notice of Electronic Filing and
indicating how service was accomplished on any party or counsel who is
not a Filing User.
C. If the Court's Electronic Filing System indicates that a Notice of Electronic
Filing has not been successfully transmitted to an intended recipient, the
Clerk will promptly notify the Filing User who originated the filing so that
other service must be attempted. See Fed. R. Civ. P. 5(b)(3);
Fed. R. Crim. P. 49(b).
10. Notice of Court Orders and Judgments
A. Immediately upon the entry of an order or judgment in an action assigned to
the Electronic Filing System, the Clerk will transmit to Filing Users in the
case, in electronic form, a Notice of Electronic Filing.
B. 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 will give notice of orders and judgments by first-class mail to
unrepresented persons and to attorneys who are not registered as Filing
Users in accordance with the Federal Rules of Civil and Criminal
Procedure, and the Local Rules of this Court.
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11. Technical Failures
A Filing User whose electronic filing is or would be made untimely as the result of
a technical failure may seek appropriate relief from the presiding Judge in the case.
12. Public Access and Confidentiality
A. A person may review at the Clerk's Office filings that have not been sealed
by the Court. A person also may access the Electronic Filing System at the
Court's internet site, www.txs.uscourts.gov, by obtaining a PACER log-in
and password. A person who has PACER access may retrieve docket
sheets and documents; however, some restrictions may apply to certain
types of cases or records.
B. Anyone may purchase paper copies, including certified and exemplified
copies of electronically filed documents from the Clerk by requesting the
copy in person or mailing the request to the Clerk. Each request must
designate the case number and document by title or docket entry number.
Requests submitted by mail must include a self-addressed, stamped return
envelope and the applicable fee provided in 28 U.S.C. §1914.
C. Transcripts will be electronically available on PACER to the public 90 days
after their filing with the court. To comply with the privacy requirements of
Fed. R. Civ. P. 5.2 and Fed. R. Crim. P. 49.1, parties must ensure that
certain protected information is redacted from transcripts prior to their
availability on PACER. During this 90 day period, transcripts will be
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available for review at the public access terminals in the clerk's office.
D. Under Fed. R. Civ. P. 5.2 and Fed. R. Crim. P. 49.1, effective December 1,
2007, all filers must refrain from including or, where inclusion is necessary,
partially redact the following personal identifiers from electronic and
conventional filings with the Court:
(1) Social Security Numbers. If an individual's social security number
must be included in a pleading, only the last four digits of that
number may be used.
(2) Names of minor children. If the name of a minor must be
mentioned, only the initials of that child may be used.
(3) Dates of birth. If an individual's date of birth must be included in a
pleading, only the year may be used.
(4) Financial account numbers. If financial account numbers are
relevant, only the last four digits of these numbers may be used.
(5) Home addresses to the city and state. If a home address must be
included, only the city and state may be listed (only applicable to
pleadings filed in criminal cases).
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