United States District Court
Western District of Texas
Administrative Policies and Procedures for Electronic Filing
in Civil and Criminal Cases
Adopted January 20, 2006
Revised December 11, 2008
(Effective January 15, 2009)
Revised November 4, 2009
Revised April 1, 2010
Revised June 2, 2011
Revised November 17, 2013
Revised December 1, 2016
Revised June 24, 2021
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Table of Contents
Section 1. Title
Section 2. Definitions and Related Information
Section 3. Scope of Electronic Filing
Section 4. Method of Electronic Filing
Section 5. Traditionally Filed Documents: Filing, Scanning, and Service
Section 6. Eligibility, Registration, Passwords
Section 7. Consequences of Electronic Filing
Section 8. Entry of Case-Related Documents by the Court
Section 9. Attachments and Exhibits
Section 10. Sealed Documents
Section 11. Ex Parte Documents
Section 12. Format and Size of Electronically Filed Documents
Section 13. Signatures and Retention Requirements
Section 14. Service of Documents by Electronic Means
Section 15. Notice of Court Orders and Judgments
Section 16. Technical Failures/Difficulties
Section 17. Confidentiality and Public Access
Section 18. Support Issues
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Section 1
Title
These Procedures may be known and cited as Administrative Policies and Procedures for
Electronic Filing in Civil and Criminal Cases in the United States District Court for the
Western District of Texas (“Electronic Filing Procedures”).
Section 2
Definitions and Related Information
a. “Court” m eans the United States District Court for the Western District of Texas.
b. “Electronic Filing” means uploading a pleading or document, in PDF format, directly
from the Filing User’s computer, using the Court’s Electronic Filing System to file that
pleading or document in the Court’s case file. Sending a document or pleading to the
Court via electronic mail (e-mail) as an attachment does not constitute “electronic
filing.”
c. “Electronic Filing System” means the Court’s Internet-based automated system
that receives and stores documents filed in electronic form. The program is part of the
CM/ECF (Case Management/Electronic Case Files) software developed for the Federal
Judiciary by the Administrative Office of the United States Courts. When a document
has been filed electronically, the official record is the electronic recording of the
document as stored in the Court’s electronic filing system.
d. “Electronic Notice Facilities” means notice sent out by the Court using the CM/ECF
software.
e. “Electronically Created Document” means a document generated from computer
software programs. The document is available and/or stored by means of a computer
device, and can be transmitted in an electronic data interchange in various formats
between computers utilizing computer software.
f. “Filing User” means a person who has registered to file documents electronically with
the Court. Filing Users must be one of the following: (1) admitted to practice before
the Court and a member in good standing of the Court pursuant to Local Court
Rule AT-1; (2) admitted pro hac vice; (3) authorized to represent the United States
of America; or (4) proceeding as a nonprisoner pro se litigant approved as a Filing
User by the Court. A Filing User must receive a login and password from the Court to
use the Court’s electronic filing system.
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g. “Hyperlink” is a reference in a hypertext document to another document or other
resource. It is similar to a citation in literature. However, combined with a data
network and suitable access protocol, it can be used to retrieve the resource referenced.
A Hyperlink document can be saved, viewed, or displayed as part of the referencing
document.
h. “Notice of Electronic Filing (“NEF”)” means an electronic notice automatically
generated by the Electronic Filing System at the time a document is docketed.
The NEF includes the date and time of docketing, date of filing, the name of the party and
Filing User filing the document, the type of document, the text of the docket entry,
and the name of the party and Filing User receiving the notice. If a publicly-available
document is attached to the docket entry, the NEF will contain a Hyperlink to the filed
document allowing recipients to retrieve the document.
i. “Notice Only Party” means someone who is not an attorney of record, but may be
an interested third person. Examples of Notice Only Parties include but are not limited
to: administrative law judges, Social Security liaisons, trustees, and victim's
coordinators.
j. “PACER (“Public Access to Court Electronic Records”)” is an automated system that
allows a person to view, print, and download Court docket information over the
Internet. Users must register with the PACER Service Center at
http://pacer.psc.uscourts.gov/.
k. “Portable Document Format (“PDF”)” is a document file created with a word
processor, or a paper document that has been scanned and converted to PDF.
Documents must be converted into PDF format to be filed electronically with the
Court. Converted files contain the file name extension “.pdf”.
l. “Pro Se Litigant” means a person who represents himself or herself in a Court
proceeding without the assistance of an attorney. A Pro Se Litigant who is
incarcerated or on probation or supervised release may not participate in the Electronic
Filing System and must file all documents by Traditional Filing.
m. “Scanned Documents” are paper documents that are converted to PDF via a scanner
or multifunction copier or scanner, as opposed to converting an electronic document
from a word processor. When scanning paper documents that will subsequently
be filed electronically, Filing Users should make certain their scanners are configured
for 300 pixels per inch (ppi) and black and white rather than color scanning.
n. “Technical Failure” means a malfunction of Court-owned or -leased hardware,
software, or telecommunications equipment that results in the inability of a Filing
User to submit a document electronically. Technical Failure does not include
malfunctioning of a Filing User’s hardware, software or telecommunications
equipment.
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o. “Traditionally Filed,” also referred to as “conventional filing,” means submitting paper
copies of pleadings and documents in the traditional or conventional manner either in
person, by courier, or via United States Postal Service.
Section 3
Scope of Electronic Filing
a. All documents submitted for filing are required to be filed electronically using the
Electronic Filing System, unless otherwise permitted by these Electronic Filing
Procedures or authorized by the Court.
b. These Electronic Filing Procedures do not supersede the Federal Rules of Civil
Procedure, Federal Rules of Criminal Procedure, or Federal Rules of Appellate
Procedure. However, in the event of a conflict with the Local Court Rules for the
Western District of Texas (“Local Court Rules”), these Electronic Filing Procedures
govern.
c. All civil, criminal, and miscellaneous cases are assigned to the Electronic Filing
System. Except as expressly provided in section 5.a. below, or elsewhere in these
Electronic Filing Procedures, or in other exceptional circumstances, a Filing User
must file electronically all documents in PDF format.
d. Social Security cases. All documents in Social Security cases must be filed
electronically, except as noted below:
(1) Complaint. The complaint and other documents typically submitted at the
time a Social Security case is initiated in federal court may be filed either
electronically or in the traditional manner.
(2) Social Security transcripts of administrative hearings may be filed either
electronically or in the traditional manner. Traditionally Filed transcripts will
not be placed into the ECF system, but will be available in paper format with the
clerk.
(3) Privacy. To address the privacy issues inherent in a social security review,
Internet access to documents other than judgments, opinions and orders, will be
limited to counsel and Court staff. Docket sheets will be available over the
Internet to nonparties. Nonparties will continue to have direct access to view
documents on file in the clerk’s office.
(4) Good cause. Upon a showing of good cause approved by the Court, the
parties may file documents by Traditional Filing.
e. Pursuant to Judicial Conference Policy regarding the electronic availability of
transcripts of court proceedings and the Court’s May 8. 2008 General Order on
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Electronic Filing of Transcripts, all transcripts of court proceedings must be filed
electronically. This includes transcripts of sealed proceedings, which must be filed
electronically under seal.
Section 4
Method of Electronic Filing
a. All electronically filed documents must be filed using the Court’s Electronic Filing
System.
b. Docketing by Filing Users
(1) The Electronic Filing System requires Filing Users to prepare the electronic
docket entry for all electronically filed documents.
(2) Docket entries prepared by Filing Users are immediately posted to the official
Court docket and made available to the Court, parties, and the public via
PACER.
(3) If a document is submitted in error, the Filing User must file a motion to
amend the pleading or a motion to strike the pleading in its entirety. If the
Court grants such motion, the Filing User may resubmit the corrected
document.
c. In order to preserve the integrity of the Court record, Filing Users who insert
Hyperlinks must also cite the authority by the traditional citation method. A
Hyperlink reference is extraneous to any filed document and is not part of the record.
d. If the filing of a document requires leave of Court, the Filing User must include for the
Court’s review the document as a PDF attachment to the motion requesting leave to file.
If the Court grants the motion, the clerk will file the document, unless the Filing User
is otherwise required to file traditionally as set forth in section 5.a. below or by order of
the Court.
(1) For purposes of any deadline, a document is deemed filed on the date the
Court grants the motion for leave to file, unless otherwise ordered by the
Court.
(2) For purposes of service and computation of time for any response, a document
is not deemed filed until filed by the clerk or Filing User, unless otherwise
ordered by the Court.
e. Filing Users must comply with the provisions of the Court’s Amended Privacy
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Policy, a copy of which is attached to these Electronic Filing Procedures as Exhibit
3.
Section 5
Traditionally Filed Documents: Filing, Scanning, and Service
a. The following documents must be submitted traditionally unless otherwise noted:
(1) civil initiating documents, except for civil complaints and notices of removal,
which may be filed traditionally or electronically;
(2) all criminal case initiating documents;
(3) all pleadings or motions that add or seek to add a new party, including amended
civil pleadings, counterclaims, motions to intervene, and motions to appear
amicus curiae.;
(4) documentary exhibits submitted at trial; and
(5) writs.
b. Traditionally Filed documents will be scanned by the clerk when possible and made part
of the electronic record.
c. Paper clips or binder clips are preferred over the use of staples for all Traditionally
Filed documents.
d. Traditionally Filed documents must be served in accordance with Rule 5, Federal Rules
of Civil Procedure, Rule 49, Federal Rules of Criminal Procedure, and Local Court Rules
CV-5(b)(2) and CR-49(a). Although an NEF will be generated for Traditionally Filed
documents that are scanned by the clerk, the NEF does not constitute service of
Traditionally Filed documents.
Section 6
Eligibility, Registration, Passwords
a. Attorneys admitted or otherwise authorized to practice in this Court must register as
Filing Users. Attorneys admitted pro hac vice must register within 10 days of the order
granting the motion to proceed pro hac vice. An eligible Pro Se Litigant may file
papers with the clerk by Traditional Filing, but is not precluded from filing
electronically as approved by the Court.
b. The registration form prescribed by the clerk and located on the Court website requires:
(1) the Filing User's name, address, and telephone number;
(2) the Filing User’s Internet e-mail address; and
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(3) a declaration that the attorney is admitted or authorized to practice in this Court
or that the party has been approved to register as a Pro Se Litigant.
c. The Filing User will receive notification of the Filing User’s login and password
within 48 hours of receipt of the registration form by the clerk.
d. Registration as a Filing User constitutes consent to electronic service of all documents
as provided both in these procedures and by Rule 5, Federal Rules of Civil Procedure,
and Rule 49, Federal Rules of Criminal Procedure.
e. A Filing User agrees to protect the security of the Filing User’s login and password, and
must immediately notify the clerk if either the login or password has been
compromised. The Court may sanction a Filing User for failure to comply with this
provision.
f. A Filing User must update the Filing User’s Internet e-mail address and access
password via the Electronic Filing System and must keep this information current to
ensure timely electronic noticing of case activity. Filing Users may make firm
address and phone number changes via the Electronic Filing System, thus
superseding Local Rule AT-9.
g. Any attorney who is not a Filing User must submit to the Court in writing good cause
why it is necessary that the attorney be authorized to file and serve documents by
Traditional Filing.
h. If a Pro Se Litigant retains an attorney, the attorney must advise the clerk to
terminate the Pro Se Litigant’s registration as a Filing User upon the attorney’s
appearance.
i. If it is determined by the Court that the Filing User is abusing the privilege to
electronically file documents or is consistently error prone in electronic filing, the
Filing User’s registration may be rescinded.
j. An attorney no longer licensed in this Court must withdraw from participating as a
Filing User by providing the clerk with a notice of withdrawal.
k. The registration of an attorney’s admission to proceed pro hac vice will be rescinded 60
days after the termination of the case, unless that attorney has a pending
application for admission to practice in the Western District of Texas.
Section 7
Consequences of Electronic Filing
a. Electronic transmission of a document through the Electronic Filing System
constitutes the filing of the document pursuant to Rule 5, Federal Rules of Civil
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Procedure, and Rule 49, Federal Rules of Criminal Procedure.
b. The transmission of an NEF constitutes entry on the docket pursuant to Rule 79 of the
Federal Rules of Civil Procedure, and Rules 49 and 55 of the Federal Rules of
Criminal Procedure.
c. Filing a document electronically does not alter the filing deadline for that document.
Filing must be completed before midnight in the division in which the case is pending
to be considered timely filed that day.
Section 8
Entry of Case-Related Documents by the Court
All documents signed by the Court or clerk will be filed in accordance with these procedures and
will constitute entry on the docket maintained by the clerk pursuant to Rules 58 and 79 of the
Federal Rules of Civil Procedure, and Rules 49 and 55 of the Federal Rules of Criminal
Procedure. Any document electronically signed by a judge or clerk has the same force and
effect as if the judge or clerk had signed a paper copy of the document and the document
had been entered by the clerk on the docket in the traditional manner.
Section 9
Attachments and Exhibits
a. A Filing User must submit in electronic form all documents referenced as exhibits or
attachments unless the Court permits Traditional Filing. A Filing User must submit
as exhibits or attachments only those excerpts of the referenced documents that are
relevant to the matter under consideration by the Court.
b. The record of an administrative agency or judicial proceeding may be filed by
Traditional Filing.
c. Proposed orders for electronically filed motions must be filed in PDF as an electronic
attachment to the motion or included with the motion, unless otherwise directed by the
Court.
d. All documents other than the main document, such as an appendix, exhibit, affidavit,
or a supplement, must be submitted as separate PDF documents. Each such document
must be given a description that corresponds to the name used in the main document.
For example, if the main document refers to “Exhibit A [Smith Declaration],” the
Category must be “Exhibit” and the Description must be “A – Smith Declaration.”
e. Unless authorized by the Court, trial exhibits will not be placed into the Electronic
Filing System, but will be available in paper or electronic format with the clerk.
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Section 10 Sealed Documents
a. Sealed documents must be electronically filed in cases that are not sealed. A sealed
document in a civil case requires leave of the Court before being filed. See Local Rule
CV-5.2. Therefore, a Motion to Seal must be electronically filed and the Filing User
must include the proposed document as a PDF attachment to the motion for the Court’s
review. If the Court grants the Motion to Seal, the sealed document will be filed by the
clerk unless otherwise ordered by the Court. Unless otherwise directed by a specific
divisional office standing order, a sealed document in a criminal case does not require
leave of court.
b. Sealed documents cannot be electronically accessed by attorneys or the public. An
NEF will be generated for the sealed document, but the document will not be
viewable. When a sealed plea agreement is filed, an NEF will be generated to the
government and applicable defendant only. Accordingly, parties may not use the
Court’s electronic notice facilities to serve sealed documents. Service must be by
other means.
Section 11
Ex Parte Documents
Ex parte documents must be electronically filed in cases that are not sealed. When an ex parte
motion or document is filed, an NEF will be generated only to the Filing User. Sealed ex parte
documents cannot be electronically accessed by attorneys or the public, including the Filing
User.
Section 12
Format and Size of Electronically Filed Documents
a. Word processing documents must be converted to PDF format not scanned and must be
converted with a fully licensed PDF conversion program. Documents converted by
unlicensed (trial) versions will be found deficient.
b. All documents submitted for electronic filing must maintain a minimum one- inch
margin at the top of each page to allow room for the electronic file stamp to be affixed
to the document.
c. All electronically filed documents converted to PDF from a word processing program
must be created in 12-point font and double-spaced.
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d. The Filing User is responsible for the legibility of a scanned document. If a scanned
document is not legible, the Filing User must file the paper document by Traditional
Filing.
e. Each filing must consist of only one pleading. Multiple pleadings (e.g., an answer and
a motion to dismiss, or a notice of appeal and a motion for certificate of appealability)
must be filed as separate documents.
f. If an electronically filed document exceeds 200 pages, the clerk may require that the
Filing User also provide a paper copy to the Court.
g. PDF Files submitted for electronic filing must not exceed a file size of 50 megabytes.
Files exceeding 50 megabytes will be rejected by the CM/ECF system.
Section 13
Signatures and Retention Requirements
a. Entry of a Filing User’s login and password will serve as the Filing User’s signature for
any purpose. An electronically filed document must include a signature block in
compliance with Local Court Rule CV-10. The Filing User under whose login and
password the document is submitted must b e i d e n t i f i e d b y i ns er t i n g an
electronic signature image or b y t y p i n g a n /s/ followed by the Filing User’s
Name where the signature would otherwise normally appear.
b. A Filing User must not permit the Filing User’s password to be used by anyone other
than an agent authorized by the Filing User.
c. Unless otherwise required by law, a Filing User who electronically files any
document requiring the signature of other individuals must either (1) submit a
scanned document containing the necessary signatures; or (2) indicate on the filed
document by the designation /s/ that the original document has been signed. 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 document filed by Traditional Filing.
d. A document containing the signature of a defendant in a criminal case must be filed in
a scanned format that contains an image of the defendant's actual signature. The
original document must be retained for one year after final resolution of the action,
including any appeal.
e. A Filing User filing a document electronically or traditionally must retain, in paper or
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electronic form, a copy of the filed document for one year after final resolution of the
action, including any appeal.
Section 14
Service of Documents by Electronic Means
a. The NEF constitutes service of any unsealed electronically filed document on Filing
Users. A Filing User may also notify another Filing User of electronically filed
documents by other means, but the N E F e s t a b l i s h e s t h e service date. Parties
who are not Filing Users must be served in accordance with the Federal Rules and the
Local Court Rules.
b. An NEF will be generated when a sealed document is filed, but the document will not
be viewable. Accordingly, parties may not use the Court’s Electronic Notice Facilities
to serve sealed documents. Service must be by other means.
c. All filed documents t h a t m u s t b e s e r v e d o n on e o r m o r e p a r t i e s b y m e a n s
o t h e r t h a n t h e C o u r t ’ s E l e c t r o ni c N ot i c e F a c i l i t i e s must include a certificate
of service that indicates the manner of service. For sample language to use in the
certificate of service, see Exhibit 1.
d. There are three methods for determining whether a person required to be served with a
document is a Filing User:
(1) the Electronic Filing System includes a program called “Mailing Information
for a Case” that can generate a list of Filing Users on a case-by-case basis;
(2) the docket includes the party’s e-mail address if the party is a Filing User; and
(3) the NEF details who will and who will not receive electronic service by the
Court.
e. If an NEF has not been successfully transmitted to an intended recipient, the clerk will
notify the Filing User who originated the filing of the failure in transmission. Service by
electronic means is not effective if the Filing User learns that attempted service did not
reach an intended recipient.
f. For the purpose of computation of time, the three-day mailing provisions found in
Rule 49, Federal Rules of Criminal Procedure, does not apply to service by electronic
means.
g. In multidefendant criminal cases, all Filing Users will receive all NEFs, except when a
sealed plea agreement is filed. When a sealed plea agreement is filed, an NEF will
be generated to the Government and applicable defendant only.
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Section 15
Notice of Court Orders and Judgments
a. Immediately upon entry of an order or judgment, the clerk will transmit an NEF to
Filing Users. Transmission of the NEF constitutes the notice required by Rule 77,
Federal Rules of Civil Procedure, and Rule 49, Federal Rules of Criminal Procedure.
The clerk will send paper copies of orders and judgments to non-Filing Users.
b. The Statement of Reasons page of the Judgment in a Criminal Case will not be
available electronically. The clerk will send a paper copy of the Statement of
Reasons to the applicable parties.
Section 16
Technical Failures/Difficulties
a. Due to the possibility of Technical Failure or system outage, a Filing User is
cautioned not to attempt to electronically file a document on a due date after the
clerk’s office has closed for that day. Known Court system outages will be posted on
the Court website.
b. 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.
c. Technical difficulties with the Filing User’s system or Internet service provider do not
excuse an untimely filing. A Filing User who cannot file a document electronically
because of difficulties with the Filing User’s system or Internet service provider must
file the document by Traditional Filing and submit a “declaration of technical
difficulties” (see Exhibit 2) to the clerk.
d. Undeliverable NEF to a Primary E-mail Address
(1) If an NEF cannot be delivered to a recipient’s primary e-mail address due to
difficulties with the recipient’s system or Internet service provider, the clerk will
attempt to resend the NEF. If the second attempt fails, the clerk will attempt to
contact the recipient to resolve the problem. If the problem cannot be resolved,
the clerk will notify the Court of the recipient’s noncompliance with these
procedures.
(2) If an NEF cannot be delivered due to difficulties with Court’s system, the NEF
will be resent as soon as possible (normally within one business day) with an
explanation for the delay.
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e. Undeliverable NEF to a Secondary E-mail Address or Notice Only Party
(1) Because a secondary e-mail address is optional, the clerk will not attempt to
correct problems resulting from an NEF that cannot be delivered to a secondary
email address. The clerk will delete the e-mail address from the profile of the
recipient without notification.
(2) If an NEF cannot be delivered to a Notice Only Party, the clerk will make one
attempt to have the recipient correct the problem. Failing timely action by the
Notice Only recipient, t h e c l e r k w i l l d e l e t e that address from the
profile of the recipient without further notification.
f. Due to the possibility of unsuccessful transmissions of the NEF, parties are strongly
encouraged to check the docket at regular intervals. A PACER account is necessary to
check the electronic docket.
Section 17 Confidentiality and Public Access
a. A Filing User must comply with the provisions of this Court’s Amended Privacy Policy,
a copy of which is attached to these Electronic Filing Procedures as Exhibit _3.
b. All non-sealed filings are available for review by the public. A person may access the
Electronic Filing System on the Court website by obtaining a PACER login and
password. A person who has PACER access may retrieve docket sheets and non-sealed
documents.
c. Copies of all non-sealed documents may be purchased from the clerk in person or by
mailing a request designating the case number and document by title or docket number.
Requests submitted by mail must include the applicable fee, which can be obtained by
contacting the clerk.
Section 18 Support Issues
The clerk will provide assistance to Filing Users via online support documentation and e-
mail. The documentation and email address are available on the Court website. Court
personnel cannot and will not provide any advice, direction, or guidance relating to the
Filing User’s computer system, any legal matter, or the content of legal documents. Support
is limited to the administration and proper use of the Electronic Filing System.
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EXHIBIT 1
Certificate of Service
(Sample Language)
CERTIFICATE OF SERVICE
I certify that I have served the forgoing document via ______________to the following:
JoAnn Johansson
Attorney at Law
745 East Mulberry Avenue
San Antonio, Texas 78212
Attorney for James Jameson
/s/Peter Peterson
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EXHIBIT 2
DECLARATION THAT FILING USER WAS UNABLE TO FILE IN
A TIMELY MANNER DUE TO TECHNICAL DIFFICULTIES
IN THE UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
DIVISION
DECLARATION THAT FILING USER WAS UNABLE TO FILE
IN A TIMELY MANNER DUE TO TECHNICAL DIFFICULTIES
Case Number: Party:
Filing User: State Bar Number:
E-mail Address: Telephone Number:
Title of Document:
Filing Deadline Date: (if any):
Please take notice that the above named Filing User was unable to file the attached document in a timely manner due to technical
difficulties. The reason(s) that I was unable to file this document(s) in an electronic format and the good faith efforts I made prior
to the filing deadline to both file in a timely manner and to inform the Court and the other parties that I could not do so are set forth
below.
Please check all that apply:
Malfunction of Filing User’s computer hardware
Malfunction of Filing User’s scanner
Malfunction of Filing User’s software
Malfunction of Filing User’s telecommunications capability
I declare under penalty of perjury that the foregoing is true and correct.
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EXHIBIT 3 FILED
UNITED STATES DISTRICT COURT OCT 292004
WESTERN DISTRICT OF TEXAS ClER1(, lJ .:>
WESTE~Sl'~~1 COURT
AMENDED By - .!c ~XAS
Privacy Policy and Public Access to Electronic Files DEPUTY CLERK
In compliance with the directives of the E-Govemment Act of 2002, the United States
District Court for the Western District of Texas will soon permit electronic public access to
documents filed in matters before the court.) The Judicial Conference ofthe United States adopted
a policy regarding privacy and public access to electronic files, which becomes effective November
1,2004, and is applicable to all parties doing business with this court as set out below.
I. In order to protect personal privacy and other legitimate interests, parties should either
exclude sensitive information in any documents filed with the court, or partially redact such
sensitive information where inclusion is necessary and relevant to the case. Parties should realize
that any personal information not otherwise protected will be made available electronically or at the
courthouse. The following personal data identifiers should be excluded from all pleadings filed with
the court, including any exhibits thereto, whether filed electronically or in paper, unless otherwise
ordered by the Court:2
a. Social Security numbers. If an individual's Social Security number must be
included in a pleading, only the last four digits of that number should be used.
b. Names of minor children. If the name of a minor child must be mentioned in a
pleading, only the initials of that child should be used.
c. Dates of birth. If an individual's date of birth must be included in a pleading, only
the year should be used.
d. Financial account numbers. If financial account numbers are required in any
pleading, only the last four digits of these numbers should be used.
e. Home Addresses (in criminal cases). If a home address must be included, only the
city and state should be listed.
) The Western District of Texas is scheduled to become an electronic filing court permitting
attorneys to file pleadings and documents electronically in 2005. Documents that are electronically filed
will be available to attorneys of record in a case and to registered users of the PACER service. Notice of
the court's implementation of the electronic filing program will follow. Social Security cases shall be
excluded from electronic public access except to judiciary employees, the United States Attorney or
his/her representative, and all litigants in said cases.
2 In order to further comply with the Judicial Conference Policy, in addition to items listed in
paragraphs a. through e., the clerk's office shall not, absent an order of the court, provide public access
(electronically or at the courthouse) to records determined by the Judicial Conference to be "Non-Public"
(e.g., unexecuted criminal summonses and warrants of any kind; documents containing identifying
information about jurors or potential jurors; juvenile records; financial affidavits; etc.), as well as sealed
documents.
II. As provided by the E-Government Act of 2002, if a party wishes to file a document
containing the full and complete personal data identifiers listed above, that party may,
a. file an un redacted version of the document under seal with the following heading
"SEALED DOCUMENT PURSUANT TO E-GOVERNMENT ACT OF 2002"; or
b. file a reference list under seal with the same heading as above. The reference list
shall contain the complete personal data identifier(s) and the redacted identifier(s)
used in its (their) place in the filing. All references in the case to the redacted
identifiers included in the reference list will be construed to refer to the
corresponding complete personal data identifier. The reference list must be filed
under seal, and may be amended as of right. The unredacted version ofthe document
or the reference list shall be retained by the court as part of the record.
The reference list is intended to serve as a type of "key." For example, if an
individual's full Social Security Number is 123-45-6789, the list would include the
complete number with the corresponding partially redacted number of XXX-XX-
6789, which would be used in future filings. This is beneficial to the court and the
clerk's office because it eliminates the filing of two versions of a document--one
unredacted (and automatically under seal) and one redacted. The listing can be filed
in civil and criminal cases.
Note, however, that in either instance, the court may require the party to also file a redacted
copy of the sealed document for the public file (which would be available electronically and at the
courthouse).
III. In addition, parties should exercise caution when filing documents that contain the following:
1. any personal identifying number, such as driver's license number;
2. medical records, treatment and diagnosis;
3. employment history;
4. individual financial information;
5. proprietary or trade secret information;
6. information regarding an individual's cooperation with the government;
7. information regarding the victim of any criminal activity;
8. national security information; and
9. sensitive security information as described in 49 U.S.c. Sec. 114(s).
Counsel is strongly urged to share this notice and privacy policy with all clients so that an
informed decision about the inclusion of certain materials may be made. If a redacted document is
filed, it is the sole responsibility of counsel and the parties to ensure that all documents and pleadings
comply with the rules ofthis court requiring redaction of personal data identifiers. The Office ofthe
Clerk will not review filings for compliance with this rule.
SIGNED and ENTERED this2L"day of October, 2004.
FOR THE COURT
