A Guide to the Electronic Case Filing Procedures for the District of Minnesota 08-22-2005

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For more information on handling Litigation issues, contact Kenneth A. Kimber, kak@hanftlaw.com or 218-722-4766.
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INTRODUCTION

On May 17, 2004, the United States District Court for the District of Minnesota began a new automated case management and electronic filing system known as Electronic Case Filing, or ECF. District of Minnesota Electronic Filing News, Volume 1, Issue 1, Fourth Quarter 2004. By July 1, 2004, 80% of all filings were made using ECF. Id. As the Internet and electronically based litigation and filing becomes more prevalent, it is expected that all courts in the federal system and many of the state courts will move towards some variation of an electronic filing or case management system. This article discusses the benefits and pitfalls of the ECF system and outlines the ECF rules of particular interest to litigators.¹

ELECTRONIC CASE FILING

I. THE DISTRICT OF MINNESOTA'S ELECTRONIC CASE FILING PROCEDURES
Regardless of whether a case was filed before May 17, 2004, "all documents submitted for filing in civil cases in [the District of Minnesota] on or after May 17, 2004 . . . [must] be filed electronically using the Electronic Filing System." United States District Court - District of Minnesota Electronic Case Filing Procedures at (I)(A)(October 26, 2004). Documents that must be filed electronically include motions, memoranda, briefs, exhibits and even transcripts of proceedings and depositions transcripts if filed with the court. Id. at fn. 1. Additionally, documents may be submitted by sending a diskette or CD of the document in .PDF format to the clerk's office. Id.

The ECF System is available 22 hours per day, from 3:00 a.m. to 1:00 a.m., seven days per week at ecf.mnd.uscourts.gov.² Id. at (I)(B)(1). In order to file a document in a timely manner using the ECF system, the document must be filed "[e]lectronically on ECF by midnight on its due date."³ Id. at (I)(B)(2)(a). However, a Judge may assign a specific time deadline for the filing of certain documents. Id. at (I)(B)(2).

In order to help users who encounter problems using the ECF system, the District of Minnesota offers user free access to a Help Desk. Id. at (I)(B)(3). This Help Desk is available between the hours of 8:00 a.m. and 5:00 p.m. Monday through Friday, and can be contacted at 1-866-325-4975, 612-664-5155 or ecfhelpdesk@mnd.uscourts.gov. Id.

A. Exceptions to the ECF Filing Requirement
There are a limited number of exceptions to the ECF filing requirement: (1) new cases; (2) social security cases; (3) habeas corpus cases; (4) documents filed under seal; (5) documents filed conventionally; (6) exemption from ECF; (7) pro se litigants; and (8) whether the clerk or any judge decides to deviate from the procedures in the exercise of discretion and "considering the need for just, speedy, and inex¬pensive determination of every action."⁴ Id. at (I)(A)(1-8).

1. New Cases
The exception to the ECF filing requirements for new cases is governed by a different subset of procedures in the District of Minnesota Electronic Case Filing Procedures. For this exception, the clerk's office will accept "initiating documents" such as complaints, petitions and notices of removal with civil cover sheets by e-mail to newcases@mnd.uscourts.gov,⁵ U.S. mail, on diskettes or CDs, or by personal delivery.⁶ Id. at (II)(A)(2)(a) and (II)(A)(2)(b). Each document must be a separate .PDF document if the document is not a paper document. Id. Importantly, with the commencement of the ECF system, the official court record is the electronic file on the ECF system and any "documents or exhibits that are filed conventionally" Id. at (II)(A)(8).

If a party is submitting the "initiating document" via e-mail, the documents must be submitted in .PDF format, the subject must say "new case - X v. Y" and the party submitting the document must notify the court how the filing fee will be paid.⁷ Id. at (II)(A)(2)(a)(1). All of the required documents must be submitted together and the court must receive the required filing fee or notification of how the filing fee will be paid in order for the case to be officially filed. Id. at (II)(A)(2)(a)(2) and (II)(A)(2)(c). If any documents are received in paper format, the ECF staff at the court will scan the documents in and file them. Id. at (II)(A)(2)(a)(3). As opposed to the 22 hour-a-day filing times for subsequent documents, initiating documents may only be filed between 8:00 a.m. and 5:00 p.m. on regular business days. Id. at (II)(A)(2)(d). These ECF Procedures do not change the service requirements for the summons and complaint under Fed. R. Civ. P. 4. Id. at (II)(A)(2)(f).

2. Conventional Filing
As with the "new case" exception, any documents filed using the "conventional" or "traditional paper" format are governed by a different subset of rules. Id. at (I)(A)(5) and (VI). A commonly used reason for attempting to file a document conventionally is when a party has "voluminous exhibits." Id. at (VI)(B)(6). Generally, a party must obtain leave of court in order to file a document conventionally unless the document or item: (a) "cannot be converted to electronic form;" (b) is an "'administrative record' in Social Security or Habeas Corpus cases;" or contains (c) [d]ocuments filed under seal pursuant to protective order;" (d) "[t]ranscripts of proceedings in the District of Minnesota;" or
(e) [u]nredacted documents filed under seal pursuant to the E-Government Act of 2002." Id. at (VI)(A)(1) and (2).

If a document can be filed conventionally, the document is due in the clerk's office by 5:00 p.m. on the due date. Id. at (VI)(A)(3). In order to obtain leave to conventionally file a document, an "Application to File Conventionally"⁸ must be filed with the court, and a "Conventional Filing Placeholder" must be filed in ECF. Id. at (VI)(B)(1) and )(C)(1). The "Conventional Filing Placeholder"⁹ is intended to demonstrate in ECF that there are additional documents that are in the clerk's office. Id. When the document is then filed conventionally in the clerk's office, you must attach the Notice of Electronic Filing to the paper version of the document.¹⁰ Id. at (VI)(C)(2). Furthermore, where a document is being filed conventionally, you must accomplish service of the document conventionally with an accompanying Certificate of Service."¹¹ Id. at (VI)(C)(6) and (7). The ECF Procedures explicitly prescribe that the "conventionally filed documents must be tabbed, two-hole punched and fastened with tongs at the top." Id. at (VI)(C)(3).

3. Documents Filed Under Seal
Documents filed under seal must be filed conventionally unless a Magistrate or District Court Judge orders the case unsealed. Id. at (I)(A)(4). No documents can be filed under seal unless a Judge issues a protective order. Id. at (VI)(D)(1). As with other conventionally filed documents, documents filed under seal must have a "Conventional Filing Placeholder" in ECF. Id. at (VI)(D)(2). Documents filed under seal are filed exactly as conventional documents but when filing these documents, you must be sealed in accordance with (VI)(D)(5) of the ECF Procedures. Id. at (VI)(D)(4) and (5). Each document must be filed separately, must be sealed in a separate envelope no larger than 9 x 12 inches with the case number, case name, party name, complete title of document, document number assigned by ECF and the word "SEALED" or "CONFIDENTIAL" on the document on the envelope. Id. at (VI)(D)(5). A paper copy of the sealed document must be addressed to the judge and "accompany the original sealed documents when filed." Id. at (VI)(D)(6).

4. Exemption for ECF Filing
Attorneys may apply to the Judge presiding over their case "for an exemption from filing electronically on a case by case basis." Id. at (I)(A)(6). In order to receive an exemption, the attorney must provide a "credible and persuasive demonstration of good cause." Id. The reason for seeking an exemption must be "explained in substantial detail." Id. Even if an exemption is received, it may be revoked at any time. Id. Similar to the request to file documents conventionally, an attorney must fill out a Request for Exemption, found on the FORMS page of the court's website. Id. A Request for Exemption should be filed in paper with the clerk who will forward it on to the Judge for review. Id.

5. Pro Se Litigants and Other Judicially Determined Deviations
Pro se litigants are automatically exempt from the ECF requirements. Id. at (I)(A)(7). This includes pro se prisoners. Id.

Furthermore, if a clerk, District Court Judge or Magistrate Judge feels it is appropriate "in the exercise of discretion, considering the need for the just, speedy, and inexpensive determination of every action," he or she may deviate from the ECF Procedures at any time without prior notice. Id. at (I)(A)(8).

II. ACCESSING AND DEACTIVATING YOUR ACCOUNT IN THE ECF SYSTEM: REGISTRATION, PASSWORDS, DEACTIVATION
In order to access the ECF system, an attorney must be admitted to the District of Minnesota and in good standing with the Court. Id. at (I)(D)(1). The court will issue an ECF password via mail or e-mail to attorneys admitted to practice and remaining in good standing. Id. at (I)(D)(2). Admission¹² includes both attorneys admitted to practice in the court and those attorneys admitted pro hac vice.¹³ Id. at (C)(2) and (3). Documents submitted electronically do not require a signature, as the ECF user's login and password will constitute the user's signature on electronically filed documents. Id. at (I)(D)(3). Importantly, the login and password serve as an attorney's signature for Rule 11 purposes and any other signature required by the court. Id.

Passwords must be kept in a safe area and cannot be knowingly passed out to any person other than an authorized employee of his or her office. Id. at (I)(C)(1)(a). Ultimately, though, the attorney retains responsibility for "all documents filed using his or her password and is subject to Rule 11 sanctions." Id. at (I)(C)(1)(b).

Once an attorney is registered, they are entered into the database with "read-only" access. Id. at (I)(D)(4). "Read-only" status precludes a party from filing in ECF. Id. Therefore, in order to actively file a document, the attorney must submit an online registration. Id. In the online registration process, the attorney agrees to service through ECF and agrees to maintain a current e-mail address, among other things. Id. The court requests that, after registering, attorneys should change their password. Id. at (I)(D)(5). Directions for changing the password are available on the court's web site or through the help desk. Id. If an attorney changes firms, addresses, phone number, fax number or e-mail address must change their contact information in the ECF system by accessing the "account maintenance link" in ECF. Id. at (I)(D)(6).

If an attorney wants to deactivate his or her ECF account, he or she may request that the account be deactivated if: (1) the "attorney is not an attorney of record on any pending case in the District of Minnesota;" and (2) the "attorney will not be practicing in the District of Minnesota for an extended period of time." Id. at (I)(E)(1). In order to request that the account be deactivated, the attorney will need to: (1) file a "Withdrawal as Counsel of Record in ECF in each pending case in the District of Minnesota;" and (2) mail "or deliver a written Request to Deactivate to the Attorney Admissions Clerk."¹⁴ Id. at (I)(E)(2).

III. FILING A DOCUMENT, ATTORNEY SUBSTITUTIONS AND WITHDRAWALS AND THE DISTRICT OF MINNESOTA'S PRIVACY POLICY
The District of Minnesota is quite broad in defining what documents must be electronically filed with the court. Generally, "[a]11 motions, pleadings, applications, briefs, memoranda of law or other documents shall be electronically filed on ECF except as otherwise provided by these procedures, by local rule, or court order." Id. at (II)(A)(l)(a). E-mailing the document to the court, judge or clerk does not constitute filing. Id. at (II)(A)(1)(b). Importantly, attorneys are encouraged "to retain the originals of documents filed electronically." Id. at (II)(A)(9).

A. Filing Using ECF

1. Signatures
a. Non-attorney Signatures
Certain documents require numerous signatures including the signatures of affiants on affidavits, attorneys on pleadings, and parties on other documents. Generally, for non-attorneys, the original document cannot be filed until the non-attorney's signature is on the document. Id. at (II)(C)(1). Once the non-attorney's signature is on the document, the attorney filing the document must sign the electronic document with "s/name of signatory" on the document. Id.

By filing the document, the attorney certifies that the document has been signed by all necessary people, including the affiant and notary, if applicable, and the ink signed originals exist and will be available in their office for inspection.

Id. These general rules for non-attorneys apply to notarized documents. Id. at (II)(C)(1)(a). As with other electronically filed documents, the electronically filed documents signed by non-attorneys that are maintained on the court's servers become the court's official version of that record. Id. at (II)(C)(1)(b).

As with other documents, there is the possibility of a party disputing the authenticity of certain documents. If a party disputes the authenticity of an electronically filed document that has a non-attorney signature, the objecting party "must file an objection within eleven days of service of the document." Id. at (II)(C)(1)(c).

b. Attorney Signatures
If an attorney is signing a document that will be electronically filed using ECF, the document must be signed "s/name of attorney," i.e. "s/John Smith," and must also include the attorney's bar number, client name, firm name, address and telephone and fax numbers. Id. at (II)(C)(2)(a). As with non-attorney signatures, if a party contests the authenticity of a document, it "must file an objection within eleven days of service of the document." Id. at (II)(C)(2)(b).

If a document requires the signatures of multiple attorneys, such as a stipulation, joint report, joint exhibit list or Rule 26(f) report, certain procedures are mapped out in the ECF Procedures manual. Id. at (II)(C)(3). First, the attorney filing the document must confirm that the document is acceptable to all signatories and obtain the signature of those individuals on the document. Id. at (II)(C)(3)(a). Once all parties or individuals sign the original document, the attorney may then file the document using the "s/name of signatory" format for each signatory. Id. at (II)(C)(3)(b). As with non-attorneys:

By filing the document, the attorney certifies that the document has been signed by all necessary people, including the affiant and notary, if applicable, and the ink signed originals exist and will be available in their office for inspection.

Id. Again, if the authenticity of the document is disputed, the objecting party has eleven days from service of the document to file an objection. Id. at (II)(C)(3)(c).

2. Service of Process
Service of process for documents that are not included among the previously outlined exceptions to electronic filing in the District of Minnesota is relatively easy. Once the document is electronically filed in accordance with the ECF Procedures, ECF will automatically complete service by forwarding a Notice of Electronic Filing to each of the parties. Id. at (II)(B)(1). When filing a document electronically, the attorney must complete a certificate of service, in accordance with Fed. R. Civ. P. 5. Id. at (II)(B)(2). The certificate of service must include all parties and needs to be filed electronically and simultaneously with the electronic filing of the underlying document. Id. The certificate of service "must state the manner in which service or notice was accomplished on each party so entitled."¹⁵ Id. Generally, it is good policy to electronically file the certificate of service as a separate document although the ECF Procedures allow for the document to be filed as an attachment. Id. Having a general rule in place that all documents, even certificates of service, must be filed separately will eliminate confusion.

Conventional service requirements apply to pro se parties and other individuals or entities that have received permission to not use ECF. Id. at (II)(B)(3) and (5). Confirmation of whether a party is registered in the ECF system may be found using the Utilities menu, under the heading titled "Miscellaneous" and a link entitled "click on the Mailings." Id. at (II)(B)(3), fn. 6.

There is a "due date" listed in the ECF system, but the ECF Procedures state that an attorney should not rely on this date as it is provided for court use only. Id. at (II)(B)(4), fn. 7. Of note, the "three-day rule" outlined in Fed. R. Civ. P. 6(e) applies to electronic service.¹⁶ Id. at (II)(B)(4).

3. Filing Fees
If a party needs to pay a filing fee, payment may be paid via check, money order, cash, or credit card/debit card. Id. at (II)(D). The fees received will be documented on the docket sheet but will not be maintained electronically. Id.

4. Motion Practice
Motions can be tricky in the ECF system. Documents must be filed in a certain order, courtesy copies¹⁷ must be mailed or delivered to the presiding Judge and if a party seeks to withdraw a motion, they must electronically file a letter to withdraw a motion on ECF. Id. at (II)(E). Additionally, the briefing schedule for filing motion documents on ECF is contained in Local Rule 7.1(b). Id. The documents accompanying a motion must be filed in the following order as separate ECF docket entries: (1) Motion; (2) Notice of Motion;¹⁸ (3) Memorandum of Law; (4) Affidavits and Exhibits;¹⁹ (5) Proposed Orders;²⁰ and (6) Certificates of Service. Id. at (II)(E)(1). If an attorney, after filing a motion, seeks to withdraw a motion, the attorney cannot withdraw the motion by sending a letter to the chambers, the clerk or the judge. Id. at (II)(E)(4). Instead, the attorney is required to "fil[e] a letter to withdraw their motion on ECF." Id. Once the letter is received by the clerk's office via ECF, the motion will be withdrawn. Id.

5. Consent to Disposition by Magistrate
In certain cases, parties will agree to have the case tried and presided over, in its entirety, by a Magistrate Judge. Where parties arrive at such an agreement, the must execute a joint consent form that "shall be filed electronically in ECF by Counsel for one of the parties on behalf of all signatories."²¹ Id. at (II)(F)(1). In some circumstances, the Magistrate or District Court Judge will direct the parties to execute separate consent forms. Id. at (II)(F)(2). If the parties must execute separate consent forms, counsel is required to submit the consent form to the calendar clerk. Id. Separate consent forms must be submitted via e-mail to the Judge's chambers with the subject line "Magistrate Judge Consent Form - case title."²² Id. at (II)(F)(2). The separate consent forms must be scanned in as a PDF file and in the body of the document, "counsel should indicate whether or not their client consents to have the matter tried before the Magistrate Judge." Id. These separate consent forms do not need to be served on opposing counsel. Id.

6. Orders

a. Orders Issued by a Judge
Generally, the court will file all signed orders electronically. Id. at (II)(G)(1)(a). If a party is not part of the ECF system, the clerk's office will forward a copy of any signed order conventionally and will also include a copy of the Notice of Electronic Filing with the order. Id. at (II)(G)(1)(b). In some situations, the order issued by the Judge will be routine and so short that he or she may issue the order as "a text-only docket entry" and ECF will forward a Notice of Electronic Filing and e-mail to notify the parties that the order has been filed. Id. at (II)(G)(1)(c). As with other orders, a copy of the Notice of Electronic Filing will be forwarded conventionally to people that are not participating in the ECF system. Id.

b. Proposed Orders
Where necessary to accompany a motion, an attorney must also submit a proposed order to the presiding Judge's chambers via e-mail." Id. at (II)(G)(2). As with notices of motion and motions, the court explicitly requests that proposed orders be separate documents when they are filed with motions. Id. at (II)(G)(2)(a). The proposed order must be served on other parties. Id. at (II)(G)(2)(f). When the proposed order is sent via e-mail to the Judge's chambers,²⁴ it "must refer to the document number that ECF assigns to the motion when the motion is electronically filed." Id. Orders must be submitted in a specific format to allow the Judges the ability to edit the document. Id. at (II)(G)(2)(b). As with other documents, proposed orders must be submitted with the e-mail subject "Proposed Order - case title and case number." Id. Lastly, the attorney filing the document must submit a certificate of service of the proposed order in ECF. Id.

c. Stipulations
If parties agree to stipulate to something in a case, one of the attorneys must file the stipulation via ECF along with a proposed order. Id. at (II)(G)(3) and (II)(G)(3)(d). For information regarding signatures on stipulations, attorneys should follow the procedures outlined in Section (3)(A)(1)(b). Contrary to stipulations filed with state courts in Minnesota, stipulations filed via ECF in the District of Minnesota should not include a signature line for the Judge. Id. at (II)(G)(3)(b). Once the presiding Judge receives the stipulation, he or she will rule on the stipulation by issuing an order. Id. at (II)(G)(3)(c).

7. Voluminous Documents and Exhibits
A voluminous document is a document in excess of two megabytes. Id. at (VII)(A). Two megabytes equals roughly 60 pages of plain text or 30 to 40 pages of scanned information. Id. at fn. 12. If a document exceeds two megabytes, it should be broken down into components of less than two megabytes. Id. at (VII)(A)(2)(a). The document containing the first page must be identified in ECF as the "main document" and each subsequent document or attachment must be labeled clearly so that the reader can readily identify the document. Id. at (VII)(A)(2)(b) and (c). Again, if the documents are too lengthy, it is wise for users to attempt to obtain leave to file the documents conventionally. Id. at (VII)(A)(C).

Exhibits may also not be larger than two megabytes per document. Id. at (VIII)(A). When submitting an exhibit as an attachment, the exhibit must be scanned in as a .PDF file at 200 dots per inch (dpi) and must be in black and white. Id. at (VIII)(B)(1). In addition to the exhibits, the filer must submit an Exhibit Index²⁵ via ECF. Id. at (VIII)(C).

8. Ex Parte Submissions and In Camera Review
Documents may be submitted without giving notice to other parties of record by submitting the document to the presiding Judge on an ex parte basis. Id. at (IX)(A). For documents submitted for in camera review, these documents may be submitted either upon the party's own initiative or pursuant to a court order. Id. at (IX)(B). Both ex parte and in camera submissions may be made by either "(i) causing the document to be mailed or hand-delivered to the judge's chambers in a conventional. . . . format, or (ii) transmitting the document via e-mail to the judge's chambers e-mail box. Id. at (IX)(A) and (B). When submitted, ex parte and in camera submissions must be clearly labeled as an "Ex Parte Submission" or "For In Camera Review." Id. The Judge "may direct the party who submits [the ex parte submission] to file the document electronically, using normal ECF procedures, or may otherwise handle and address the document as he or she deems most appropriate." Id.

9. Miscellaneous Information: Motions to Obtain Leave to File, Consent Decrees, Trial Documents, Title of Docket Entries, Correcting Docket Entries, Technical Failures, Hyperlinks in Documents, and Bill of Costs
The ECF Procedures are loaded with miscellaneous information that will provide attorneys with information and solutions for specific circumstances that may arise when using the ECF system. For example, if an attorney must obtain leave to file a document such as an amended complaint or additional reply brief, the attorney can file the proposed document in ECF as an attachment to the motion that the document relates to. Id. at (II)(A)(7). If the motion to file the document is granted, the attorney can then file the document using ECF. Id.

Where a party must execute a consent decree and the document requires the signatures of multiple parties, consult Section (III)(A)(1)(b) of this article. Id. at (II)(H)(1)(a). After obtaining the signatures of the parties, you should forward the consent decree to the Judge in word processing format via e-mail, retaining the original. Id. at (II)(H)(1)(b) and (II)(H)(1)(c). If the Judge approves the consent decree, he or she will sign the document and "file the consent decree in ECF noting in the docket text the name of the person who emailed to document. Id. at (II)(H)(2).

If an attorney wishes to file a trial document, these documents must also be filed electronically using ECF. Id. at (II)(I). In some circumstances, the presiding Judge will request that trial documents are also sent to his or her personal e-mail address in word processing format. Id.

The District of Minnesota has specific requirements for titles that users must use for docket entries. Id. at (II)(J). ECF users must designate "an appropriate docket entry title by using one of the docket event categories prescribed by the court." Id.

If there is an error in a document submitted via ECF, only the clerk's office can make corrections. Id. at (II)(K)(1). Users are not able to make any changes once submitted. Id. If you file the wrong document in the correct case such as the wrong draft of a memorandum in support of a motion, the wrong document will remain part of the record. Id. at (II)(K)(2). Once you recognize that the wrong document has been filed, you must call the help desk or reply to the Notice of Filing electronically and identify the error. Id. at (II)(K)(2)(a). Once the clerk's office becomes aware of the error, they will "edit the docket text of the incorrect entry indicating 'DOCUMENT FILED IN ERROR' in all caps at the beginning of the docket entry." Id. Immediately following the conversation with the help desk or the reply to the Notice of Filing, the attorney must file the correct document on ECF and label the document as a corrected version using one of the following words in the title, for example: Amended, Substituted, or Corrected. Id. at (II)(K)(2)(b). Where documents are filed in the wrong case on ECF, attorneys should again contact the help desk or reply to the Notice of Filing electronically and let the clerk's office know of the error. Id. at (II)(K)(3). The incorrectly filed document will be removed from the improper case and replaced with a document entitled "Document Removed - Filed in Wrong Case." Id. at (II)(K)(3)(a). Do not expect to receive an e-mail notification of the edit but if you attempt to access the document electronically via hyperlink in the original e-mail notification, the document will say "Document Removed." Id. at (II)(K)(3)(b). As with filing the wrong document in the correct case, where a document has been improperly filed in the wrong case users should immediately file the document in the correct case. Id. at (II)(K)(3)(c).

The best method of dealing with technical problems is to contact the help desk. When technical problems occur that are greater than one hour in length and make electronically filing a document impossible, the clerk's office will notify users of the technical problems by posting a notification on the website. Id. at (II)(L). If you are unable to file the document because of technical problems, you must file the document electronically as soon as possible once the problem is cured. Id. Where a technical problem occurs, there is a specific "Technical Errors" form that must be forwarded with the filing. Id. This form forces the filing party to provide reasons as to what technical difficulties occurred and why the filing was untimely. Id. Although this policy implies that the District of Minnesota understands that technical difficulties will occur and the District of Minnesota's technical failures policy is charitable and even applies to law firm server malfunctions, the best policy, once again, is not to wait until the last minute to file the document. Id. If an attorney suspects opposing counsel is using the technical failures policy to skirt around the deadlines, the District of Minnesota does not outline a method for filing an objection to this behavior. Id. The authors of this article suggest raising the issue with the Judge personally by contacting his or her law clerk and requesting a telephone conference with the Judge to address the issue.

As of November 1, 2004, the District of Minnesota added a specific section in the ECF Procedures regarding hyperlinks in documents. Id. at (II)(M). A hyperlink is a link with-in a document that automatically links a user to a specific web page, document, or portions with the same document. ECF allows hyperlinks within electronically filed documents to (1) other portions of the same document; and (2) to locations on the Internet that are a source document for a citation. Id. at (II)(M)(1). "Hyperlinks to other documents filed within the [Case Management]/ECF system are not permitted" and "[h]yperlinks to personal websites, inclusive of law firms, [are] strictly forbidden." Id. at (II)(M)(2). The permission to use hyperlinks in documents does not allow users to replace the conventional Blue Book citation method with hyperlinks. Id. at (II)(M)(3). Technically, hyperlinks are not considered part of the record. Id. Furthermore, the court "accepts no responsibility for the availability or functionality of any hyperlink." Id.

Bills of Cost must be filed in ECF.²⁶ Id. at (XI). To file a Bill of Cost with supporting documentation, including affidavits and exhibits, the document should be filed in accordance with the exhibits procedures. Id. ; see also Section (III)(A)(7) of this memorandum for information regarding filing exhibits. Once a Bill of Costs is filed, the court will file a notice for objections in ECF and counsel can subsequently file their objections and responses in ECF. Id. at (XI).

B. Notice of Appearance, Attorney Substitutions and Withdrawals
Each attorney must electronically file a Notice of Appearance using ECF in order to be recognized as an attorney in a particular case. Id. at (II)(A)(4). Therefore, if you represent a party along with another attorney and the attorney you are working with files a Notice of Appearance on his or her own behalf, only that attorney will be recognized as the party's attorney in ECF. Id. The clerk's office will attempt to add you as an attorney on the case "as part of clerk's office quality control procedures." Id.

If an attorney seeks to appear as a substitution for prior counsel, the rules require the new attorney to: (1) "obtain the withdrawing attorney's signature on a Withdrawal of Counsel and Entry of Appearance of Substituted Counsel;" (2) "affix the s/signatures for both attorneys to the electronic document;" and (3) "convert the electronic document to a .PDF file and file it in ECF." Id. at (II)(A)(5). Withdrawing as an attorney of record requires filing either a Notice of Withdrawal or a Motion to Withdraw, depending on the circumstances. Id. at (II)(A)(6).

C. Privacy Policy for ECF in the District of Minnesota
Documents submitted to the District of Minnesota via ECF are public and are available to any ECF or WebPACER²⁷ subscriber. Id. at (III)(A). Documents filed under seal are, of course, not public and are not posted on ECF or accessible through WebPACER. Id.

Certain information is subject to the E-Government Act of 2002 and must be redacted by attorneys or filers²⁸ from electronically filed documents. Id. at (III)(B). Parties must redact the following: (1) social security numbers, except for the last four digits; (2) names of minors;²⁹ (3) birthdates,³⁰ and (4) financial account numbers.³¹ Id. at (III)(B)(1). The ECF Procedures recommend using caution when supplying any personal identifying number including a driver's license number, any medical records, any employment history any individual financial information, and any proprietary or trade secret information. Id. at (III)(B)(2). If a party is using any of these cautionary identifiers, the authors of this memorandum recommend obtaining leave to file this information conventionally. See Section (I)(A)(2) of this memorandum.

Where a party deems the personal identifier information necessary for his or her filing, the party may file the unredacted document under seal. Id. at (III)(D)(1)(a); see also Section (I)(A)(3) of this memorandum for further information regarding filing documents under seal. Otherwise, a party may file a "reference list under seal without seeking leave of the court" and the list should "contain personal data identifier(s) and the redacted identifier(s) used in its place in the filing." Id. at (III)(D)(1)(b). Even if users file an unredacted document under seal or a reference list under seal, the redacted version must be filed in ECF with the "Conventional Filing Placeholder as an attachment indicating the existence of the sealed document on the record." Id. at (III)(D)(2); see also Section (I)(A)(2) of this memorandum for instructions regarding Conventional Filing Placeholders. When filing the sealed version or list,³² the Notice of Electronic Filing must be attached to the envelope for the sealed version or list. Id. at (III)(D)(3).

The public may access ECF electronically at no charge by going to the clerk's office during regular business hours. Id. at (X)(A). If a member of the public requires copies of submissions to be made, a copy fee must be paid. Id. For those members of the public who wish to access ECF through the Internet, access is limited to PACER subscribers and PACER subscribers will be charged a user fee for "accessing certain detailed case information, such as filed documents and docket sheets in civil cases, but excluding review of calendars and similar general information. Id. at (X)(B). If an individual wants to obtain copies of conventionally filed documents or certified copies of electronically filed documents, these items may be purchased in the clerk's office. Id. at (X)(C).

CONCLUSION

At first glance, the ECF Procedures appear to be complex and, periodically, confusing and may cause users some frustration. A more complete examination of the Procedures reveals that they truly accomplish the goal of simplifying filing for court participants and providing users with near 24-hour access to the ECF system, if the need arises. As time moves on and users become more familiar with ECF and the ECF Procedures, confusion and frustration should subside.

¹ The District of Minnesota has changed the Electronic Case Filing Procedures several times since the system was initiated, most recently on October 26, 2004. Therefore, attorneys, paralegals, administrative assistants and support staff should check for changes to these procedures after the publication date of this article.
² Periodically, the ECF system may require additional maintenance that will force them to shut the system down for an extended period of time. Id. at (I)(B)(1). If this occurs, the court will provide users with advance notice.
³ It is presumed that, although this language may provide some hesitation on the part of the reader, it is intended to allow ECF users to electronically file up until 11:59 p.m. on the due date. To avoid any issues with this complex and sometimes difficult system, it is best for ECF users to avoid waiting until the last minute to attempt to file these documents.
⁴ The exceptions related to social security and habeas corpus cases will not be addressed in this article.
⁵ "Only initiating documents, civil cover sheets, and summons form [sic] may be sent to this e-mail address." Id. at (II)(A)(2)(b).
⁶ Summonses to be issued may be sent to the clerk's office via the new case e-mail address, U.S. mail or delivered personally. Id. at (II)(A)(3)(a). Once the clerk's office receives the summons and evaluates the document, they will sign and seal it and return it in paper by mail or in person. Id. at (II)(A)(3)(b). To find a summons form, look at the FORMS page located at www.mnd.uscourts.gov. Id. at (II)(A)(3)(d).
⁷ If the fee is paid by check, the court requires that a "short case title . . . be typed or written directly on the memo line of the check." Id. at (II)(A)(2)(e).
⁸ The Application is available on the FORMS page at www.mnd.uscourts.gov. Id. at (VI)(B)(1). The Application must be filed electronically via the ECF system and must be approved before the date that the document that the party seeks to file conventionally is due. Id. at (VI)(B)(2). The ECF procedures require a party to allow a Magistrate judge five days to review the request to obtain leave to file conventionally before he or she grants or denies the Application. Id. at (VI)(B)(4) and (5).
⁹ The "Conventional Filing Placeholder" is available on the FORMS page at www.mnd.uscourts.gov. Id. at (VI)(C)(1).
¹⁰ A courtesy copy of the document with the Notice of Electronic Filing must be delivered or mailed, in a separate envelope, to the Judge handling the matter. Id. at (VI)(C)(5).
¹¹ "The Certificate of Service must be filed in ECF for all conventionally filed documents." Id. at (VI)(C)(8).
¹² A pro se party who is not a prisoner may participate in the ECF system but is not required to do so. Id. at (I)(C)(4). They may submit an application, available in the clerk's office, and will, if approved, receive a password and registration form that they will need to return to the clerk's office. Id. Once the registration form is signed and returned, the account will be activated and the pro se party will be able to participate in and use the ECF system. Id. If the party does not use the ECF system properly, the court retains the ability to revoke the password and registration without notice. Id. Once the case is completed, access is deactivated. Id. This does not apply to pro se parties who are prisoners. Id. at (I)(C)(5). "Prisoner pro se parties may not register to use ECF and must file their documents in paper." Id.
¹³If an attorney is admitted pro hac vice, they are entitled to one password and therefore will be able to access the ECF system. Id. at (I)(C)(3). Pro hac vice admissions are solely for one case and if an attorney seeks to be admitted pro hac vice in numerous affiliated cases, he or she will need to submit a separate application and payment of the admission fee for each case. Id. The admission fee for each case is $25. Id.
¹⁴ These forms are available on the FORMS page at www.mnd.uscourts.gov. Id. at (I)(E)(2).
¹⁵ An example of a certificate of service can be found attached to the ECF Procedures as Form A and Form B. Id. at (II)(B)(2).
¹⁶ The ECF Procedures state that an attorney should not rely on the response due date listed in the ECF system as this response due date is for court use only. Id. at (II)(B)(4), fn. 7.
¹⁷ Attorneys filing "motions, responses, or reply briefs on ECF . . . must also provide one (1) paper courtesy copy of the motion and all supporting documents (affidavits and exhibits) to the Judge hearing the motion." Id. at (I)(F). These courtesy copies must be mailed or hand delivered to the presiding District Court Judge or Magistrate Judge in an envelope that is addressed to the Judge's calendar clerk. Id. The courtesy copy must be mailed or hand delivered contemporaneously with the documents posting on ECF. Id. This rule applies to all "dispositive and non-dispositive motions." Id.
¹⁸ The ECF Procedures sternly warn litigants to "not combine your motion and notice of motion in one document." Id. at (II)(E)(1)(b).
¹⁹ All affidavits and exhibits can be filed as one document or can be filed separately Id. at (II)(E)(1)(d).
²⁰ Proposed orders must be submitted to the presiding Judge, using the process outlined in Section (III)(A)(6)(b).
²¹ For the ECF Procedures regarding signatures, please see Section (III)(A)(1)(b) of this article.
²² A list of each District Court or Magistrate Judge chamber's e-mail address is listed under Section (II)(G)(2)(d) of the ECF Procedures.
²³The proposed order "shall be sent to either the District Judge or the Magistrate Judge who will hear the motion" - not both. Id. at (II)(G)(2)(e).
²⁴ See Section (II)(G)(2)(d) of the ECF Procedures for the e-mail addresses of each Judge.
²⁵ A sample Exhibit Index can be found at Section (VIII)(C)(2) of the ECF Procedures.
²⁶ The form, form AO 133, can be accessed via the court's website. Id. at (XI) (October 26, 2004).
²⁷ WebPACER is a public document system invented and used before the commencement of the ECF system whereby individuals could view, download, store and print any documents related to any federal case. Id. at (III)(A). WebPACER requires that users pay a predetermined fee to view, download, store and print these documents.
²⁸"It is the sole responsibility of counsel and the parties to be sure that all pleadings comply with the rules of this court requires redaction of personal data identifiers." Id. at (III)(C).
²⁹ For names of minors, parties should use only the minor's initials. Id. at (III)(B)(1)(b).
³⁰ Use only the year of birth for birthdates. Id. at (III)(B)(1)(c).
³¹ ECF Procedures require that participants only "[i]dentify the name or type of accounts and the financial institution, but use only the last four digits of the account number." Id. at (III)(B)(1)(d).
³² See Section (I)(A)(3) of this memorandum for instructions regarding filing under seal. Id. at (III)(D)(4).

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Reprinted with permission of Minnesota Defense Lawyers Association, 2005

For more information on handling Litigation issues, contact Kenneth A. Kimber, kak@hanftlaw.com or 218-722-4766.
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The information provided in this article is general in nature and should not be used as a substitute for professional services and advice. The communication and receipt of this information is not intended to create an attorney-client relationship. Readers should consult with their legal counsel before taking any action on matters covered in this article.
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Hanft Fride, A Professional Association, 1000 U.S. Bank Place, 130 W. Superior Street, Duluth, MN 55802. Phone 218-722-4766; fax 218-529-2401.