Test Case v. FNU Doe, et al

Filing 17

ORDER to Serve.. Signed by District Judge Unassigned Judge on 3/12/18. (Pro se litigant served by US Mail.)(tmg)

UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF NORTH CAROLINA
ADMINISTRATIVE PROCEDURES
GOVERNING FILING AND SERVICE BY ELECTRONIC MEANS
revised January 1, 2018

I.

THE ELECTRONIC FILING SYSTEM
A. IN GENERAL
Unless otherwise permitted by these administrative
procedures or unless otherwise authorized by the assigned judge, all
documents submitted for filing in this district after January 1, 2006, no
matter when a case was originally filed, shall be filed electronically using the
Electronic Filing System (“System”).
1.

Parties proceeding pro se shall not file electronically.

2.

The filing of Social Security cases shall be subject to the limitations
imposed in Section VI of these procedures.

3.

Juvenile criminal matters shall not be filed electronically unless,
after hearing the Court rules that the juvenile shall be tried as an
adult.

4.

For good cause shown, an attorney may apply to the assigned judge
for permission to file documents conventionally. Such permission, if
granted, will be granted only with respect to a particular case. Even
if the assigned judge initially grants an attorney permission to file
documents conventionally, however, the assigned judge may
withdraw that permission at any time during the pendency of a case
and require the attorney to file documents electronically using the
System.

5.

The Clerk’s Office or any judge of this Court may deviate from these
procedures in specific cases, without prior notice, if deemed
appropriate in the exercise of discretion, considering the need for the
just, speedy, and inexpensive determination of matters pending
before the Court. The Court may also amend these procedures at any
time without prior notice.

6.

Rule 6 of the Federal Rules of Civil Procedure shall govern the
computation of time under these procedures.

B.

ATTORNEY REGISTRATION
1.

Attorneys admitted to the bar of this court, including special
appearance attorneys, must complete and submit an Online Attorney
Registration Form. The form is available on the Court’s web site at
www.ncwd.uscourts.gov/ecf.

2.

After the attorney electronically submits the Online Attorney
Registration Form to the Clerk’s Office, an Internet e-mail message
will be sent to the attorney with instructions on how to complete the
registration process.

3.

The Clerk’s Office will verify the registration within two business
days. After the Clerk’s Office has verified the registration, the Clerk’s
Office will send the attorney an Internet e-mail message with the
attorney’s log-in name and password. The attorney should log
in to the System and change his or her password
immediately on receipt of his or her log-in name and
password.

4.

Once registered, an attorney may withdraw from participating in the
System by providing the Clerk’s Office with notice of withdrawal.
Such notice must be in writing, and mailed or delivered to United
States District Court for the Western District of North Carolina, 401
West Trade Street, Suite 210, Charlotte, North Carolina 28202.
Upon receipt, the Clerk’s Office will immediately cancel
the attorney’s password and delete the attorney’s name
from any applicable electronic service list. An attorney’s
withdrawal from participation in the System shall not be
construed as authorization to file cases or documents
conventionally.

5.

After registering, attorneys may change their passwords at any time.
If an attorney comes to believe that the security of an existing
password has been compromised and that a threat to the System
exists, the attorney must immediately change his or her password
and contact the Clerk’s Office by telephone.

6.

An attorney whose e-mail address, mailing address, telephone or fax
number has changed from that of the original Online Attorney
Registration Form shall (i) edit his or her information in the System,
and (ii) timely file a notice of such change and serve a copy of the
notice on all other parties.

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C. PASSWORDS
Each attorney shall be entitled to one System log-in name and
password from the District Court. The log-in name and password
permit the attorney to participate in the electronic retrieval and filing
of pleadings and other documents
1.

2.

Once registered, the attorney shall be responsible for all
documents filed with his or her log-in name and password.

3.

Registration for a log-in name and password is governed by
I(B) of these procedures.

4.

D.

No attorney shall knowingly permit or cause to permit his or
her log-in name and password to be utilized by anyone other
than an authorized employee of his or her office.

An attorney admitted pro hac vice must register for a log-in
name and password in accordance with these administrative
procedures.

PRO SE REGISTRATION
1.

Although parties proceeding pro se shall not file electronically,
parties proceeding pro se may request in writing - solely for the
purpose of the action - to receive notice via e-mail whenever a
pleading or other paper is filed electronically in accordance with
these procedures. Following the update to the pro se litigant’s record
an NEF will be generated to notify parties.

2.

A party proceeding pro se may withdraw from receiving notice via
email by providing the Clerk’s Office with notice of withdrawal. Such
notice must be in writing, and mailed or delivered to the United
States District Court for the Western District of North Carolina, 401
West Trade Street, Suite 210, Charlotte, North Carolina 28202.
Upon receipt, the Clerk’s Office will immediately delete the party’s
name from any applicable electronic service list.

3.

A pro se party whose e-mail address, mailing address, telephone or
fax number has changed shall notify the Clerk of a change of address
and serve a copy of the notice on all other parties.

4.

If during the course of the action, the pro se party retains an attorney
who appears on the pro se party’s behalf, the attorney must advise
the Clerk’s Office to terminate the pro se party’s e-mail notification
upon the attorney’s appearance.

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II.

ELECTRONIC FILING AND SERVICE OF DOCUMENTS
A.

FILING
1. All motions, pleadings, applications, briefs, memoranda of law, or other
documents in a case shall be electronically filed on the System except as
otherwise provided by these administrative procedures. All documents
shall be in a PDF text-searchable format.
a. A document shall not be considered filed for purpose of the
Federal Rules of Civil Procedure until the filing party receives a
system-generated “Notice of Electronic Filing” described in
II(B)1 of these procedures. E-mailing a document to the
Clerk’s Office or to the assigned judge shall not
constitute “filing” of the document. (See Section
II.H.2.b for guidance on filing during technical failures)
2.

Complaints in a Civil Case
a.

The Clerk’s Office will not accept complaints sent by e-mail,
United States Mail, or delivered in person to the Clerk’s Office
except by pro se parties.
1.

2.

b.

3.

Complaints shall be filed electronically using
unassigned case opening and paying the fee through
secure electronic means. If proceeding in forma
pauperis the complaint must be accompanied by a
Motion to Proceed in Forma Pauperis.
If the complaint is submitted in paper form, the Clerk’s
Office will scan the complaint, upload the document
into the System. The electronically-filed document as
it is maintained on the Court’s servers shall constitute
the official version of the record.

A party may not electronically serve a complaint, but instead
must effect service according to Federal Rules of Civil
Procedure 4.

Summonses in a Civil Case
a.

Counsel should create the civil summons in PDF format for
each named defendant using the form AO440 located on the
Court’s forms webpage under Civil Forms – Administrative
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b.
c.

4.

Office (local). The summons should be submitted via
CM/ECF - CyberClerk - Submit Document to the court. The
summons can be submitted either separately or as one PDF
document for each named defendant, however, each
summons must be completed with both pages of the AO440
form per named defendant. Failure to submit both pages per
defendant will result in the Clerk’s Office requesting that the
form be resubmitted in its entirety. Counsel will receive a
notice of electronic filing (NEF) of the summons when it is
entered on the court’s docket. Use the NEF hyperlink to
retrieve the issued form to effect service of process.
In the event a Waiver of Service is requested it shall be
electronically filed as a separate document.
A party may not electronically serve a summons, but instead
must perfect service according to Federal Rule of Civil
Procedure 4.

Notices of Removal in a Civil Case
a. Notices of removal shall be filed in accordance with the procedures
in II(A)2.

5.

Charging Documents in a Criminal Case
a. All charging documents, e.g. the complaint, information and/or
indictment, shall be filed conventionally, i.e. in paper form.
The electronically-filed document as it is maintained on the
Court’s servers shall constitute the official version of the
record.
i.

If a criminal complaint is filed, the Clerk’s Office will
scan criminal complaint, upload it to the System, and
retain the paper document.

ii.

If an indictment is filed, the Clerk’s Office will redact
the name of the grand jury foreperson, scan the
indictment, upload it to the System, and retain the
paper document.

iii.

If any other charging document is filed, the Clerk’s
Office will scan the charging document, upload it to the
System, and retain the paper document.

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6.

Plea-Related Documents in a Criminal Case
All plea agreements and factual resumes shall be filed electronically
by the United States Attorney. The documents should be scanned
and uploaded to the system. The United States Attorney shall retain
the original documents for future production, if necessary, for two
years after the expiration of the time for filing a timely appeal of the
final judgment or order, or after receipt by the Clerk of Court of an
order terminating the action on appeal. The electronically-filed
document as it is maintained on the Court’s servers shall constitute
the official version of the record.

7.

Filing Deadlines
Filing a document electronically does not alter the filing deadline for
that document. A document will be deemed timely filed on a
particular day if filed prior to midnight Eastern Time. If the time of
day is of the essence, however, the judge will order that document
filed by a time certain.

8.

Document Requiring Leave of Court to File
If filing a document requires leave of the Court, such as an amended
complaint, the attorney shall attach the proposed document as an
exhibit to the motion according to the procedures in IV. If the Court
grants the motion, the filer will be responsible for electronically
filing the document on the case docket.

9.

Attachments and Exhibits
Attachments and exhibits larger than 50 megabytes may be filed
electronically in separate fifty-megabyte segments unless electronic
filing is impractical as set out in III(B) and IV(B) of this Order.

10.

Official Court Record
The Clerk’s Office shall not maintain a paper court file in any case
begun after the effective date of these procedures except as otherwise
provided in these procedures. The official court record shall be the
electronic file maintained on the Court’s servers. The official record
shall include, however any conventional documents or exhibits filed
or maintained in accordance with these procedures. The procedure
for retention, storage and disposition of any conventional
documents and exhibits is outlined in the Court’s Document
Disposition Plan (Appendix I).

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11.

Sealed Documents
A document subject to an existing sealing order or sealing statute
shall be filed electronically under seal pursuant to LcvR 6.1 and LcrR
55.1 and this Order. Documents ordered sealed by the court or
otherwise required to be sealed by statute shall be marked as such
within the document caption and include a notation that the
document is being filed under court seal along with the entry date
of the sealing order. A motion to file any document under seal shall
be filed electronically, unless prohibited by law. The document for
which sealing is sought may be submitted for in camera review prior
to filing via Cyberclerk.
An order of the court granting a motion to seal shall not itself be
sealed, unless prohibited by law or unless the court finds that
electronic filing of the order without seal would be inappropriate.

B.

SERVICE
1.

Whenever a pleading or other paper is filed electronically in
accordance with these procedures, the System will generate a
“Notice of Electronic Filing” to the filing party and any other party
who is a registered user and has requested electronic notice in that
case.

2.

If the recipient is a registered participant in the System, the System’s
e-mailing of the “Notice of Electronic Filing” shall be the equivalent
of service of the pleading or other paper by first class mail, postage
prepaid.

3.

A certificate of service on all parties entitled to service or notice is
still required when a party files a document electronically.

4.

A party who is not a registered participant of the System is entitled
to a paper copy of any electronically-filed pleading, document or
order. The filing party must therefore provide the non-registered
party with the pleading, document, or order according to the Federal
Rules of Civil Procedure. When mailing paper copies of documents
that have been electronically filed, the filing party may include the
“Notice of Electronic Filing” to provide the recipient with proof of
the filing.

5.

The three-day rule of Federal Rule of Civil Procedure 6(d) for service
by mail shall also apply to service by electronic means.
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C.

SIGNATURES
1.

Non-Attorney Signature, Generally
If the original document requires the signature of a non-attorney,
e.g., an affidavit, the filing party shall scan the original document in
PDF format, then electronically file it on the System.
a.

b.

2.

The electronically-filed document as it is maintained on the
Court’s servers shall constitute the official version of that
record.
The filing party shall retain the original document for future
production, if necessary, for two years after the expiration of
the time for filing a timely appeal of a final judgment or
decree, or after receipt by the Clerk of Court of an order
terminating the action on appeal.

Attorney Signature
A pleading or other document requiring an attorney’s signature shall
be signed in the following manner, whether filed electronically or
submitted on disk to the Clerk’s Office: “s/(attorney name).” The
correct format for an attorney signature is as follows:
s/Judith Attorney
Judith Attorney Bar Number: 12345
Attorney for (Plaintiff/Defendant)
ABC Law Firm 123 South Street
Charlotte, North Carolina 28202
Telephone: [phone]
Fax: [phone]
E-mail: [e-mail]

3.

Multiple Attorney Signatures
The following procedure applies when a stipulation or other
document requires two or more signatures:
a.

The filing attorney shall confirm (1) that the content of the
document is acceptable to all persons required to sign the
document and (ii) that all such persons have given their
explicit consent for the filing attorney to affix their respective
signatures as an “s/(attorney name)” and to submit the
document electronically.
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b.

c.

4.

The filing attorney then shall file the document electronically,
indicating the signatories, e.g., “s/Jane Doe,” “s/John Smith,”
etc. A signature block shall be included for each signatory.
The filing attorney shall retain any record evidencing the
assent of the non-filing signatories for future production, if
necessary, for two years after the expiration of the time for
filing, a timely appeal of a final judgment or decree, or after
receipt by the Clerk of Court of an order terminating the
action on appeal.

Non-Attorney Signatures on Documents in Criminal Cases
a.

Documents requiring the signatures of a criminal defendant,
e.g. waiver of arraignment, the filer shall scan the original
document in PDF format, then electronically file it on the
System. The electronically-filed document as it is maintained
on the Court’s servers shall constitute the official version of
that record. Filer is required to maintain original for future
production, if necessary, for two years after the expiration of
the
time
for
filing
a
timely
appeal.

b.

Documents requiring the signature of an officer of the U.S.
Probation Office shall be signed in the same manner and
format as established for attorney signatures and set forth in
IL(C)(2) of this order: “s/(U.S. Probation Officer name).” The
filing officer shall electronically convert the original
document in PDF format, then electronically file it on the
System. The electronically filed document as it is maintained
on the Court’s servers shall constitute the official version of
that record.

c.

Other documents filed in criminal cases requiring the
signature of a non-attorney filer, not set forth in sections 4(a)
and (b) above, i.e. a third-party custodian, a United States
Marshal, or some other federal officer or agent shall be filed
conventionally, i.e. in paper form.
Upon receipt of such document, the Clerk’s Office will scan
the paper document and upload it to the System. The
electronically-filed document as it is maintained on the
Court’s servers shall constitute the official version of that
record.

d.

Documents containing personal data identifiers and/or
confidential information shall be handled in accordance with
II(I) of these procedures.
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D.

FEES PAYABLE TO THE CLERK
Any fee required for filing a pleading electronically in District Court is
payable to the Clerk of the Court by credit card. The docket will reflect
receipt of fees. The court will not maintain electronic billing or debit
accounts for lawyers or law firms.

E.

ORDERS
1.

The Clerk’s Office shall electronically file all signed orders. Any
order signed electronically has the same force and effect as if the
judge had affixed the judge’s signature and seal to a paper copy of
the order and it had been entered on the docket conventionally. A
document shall not be considered entered on the docket for
purposes of the Federal Rules of Civil Procedure until the System
generates a Notice of Electronic Filing.

2.

All proposed orders should be submitted to the Court in RTF or
WordPerfect format via CyberClerk with the exception regarding
consent orders and consent judgment of forfeitures which include a
defendant’s signature set forth in Paragraph (a)(1) and (2) below. A
copy of the proposed document may also be attached to a referenced
motion in PDF format and properly identified.
A. Consent Orders/Judgment of Forfeiture which include the
signature of a criminal defendant, shall be submitted to the court
conventionally, i.e., in paper form which will be forwarded to the
Court for consideration.
1.

Upon receipt of such executed order, the Clerk’s Office
will scan the paper document and upload it to the
System. The electronically-filed document as it is
maintained on the Court’s servers shall constitute the
official version of that record. The original document
will be returned to the United States Attorney’s Office.

2.

The United States Attorney shall retain the original
document for future production, if necessary, for two
years after the expiration of the time for filing a timely
appeal of the final judgment or order, or after receipt
by the Clerk of Court of an order terminating the action
on appeal.

3.

If a judge during a hearing enters an oral order, a textonly entry will be made upon the docket. In such case,
no PDF document will issue; the text-only entry shall
constitute the Court’s only order on the matter. The
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Systems will generate a “Notice of Electronic Filing” as
described in II(B)(1) of these procedures.
4.

F.

The judge or the Clerk’s Office, if appropriate, may
enter routine orders by a text-only entry upon the
docket. In such cases, no PDF document will issue; the
text-only entry shall constitute the Court’s only order
on the matter. The System will generate a “Notice of
Electronic Filing” as described in II(B)(1) of these
procedures.

TITLE OF DOCKET ENTRIES
The party electronically filing a pleading or other document shall be
responsible for designating a docket entry title for the document by using
one of the docket event categories prescribed by the Court.

G.

CORRECTING DOCKET ENTRIES
1.

2.

A document incorrectly filed in a case may be the result of posting
the wrong PDF file to a docket entry, selecting the wrong document
type from the menu, or entering the wrong case number and not
catching the error before the transaction is completed. The filing
party should not attempt to re-file the document.

3.

H.

Once a document is submitted and becomes part of the case docket,
corrections to the docket are made only by the Clerk’s Office. The
System will not permit the filing party to make changes to the
document(s) or docket entry filed in error once the transaction has
been accepted.

As soon as possible after an error is discovered, the filing party
should contact the Clerk’s Office with the case number and
document number for which the correction is being requested. If
appropriate, the Court will make an entry indicating that the
document was filed in error. The filing party will be advised if the
document needs to be re-filed or if the document can be replaced by
the Clerk’s staff. In the event a document is replaced, a new NEF will
be regenerated to the parties of record.

TECHNICAL FAILURES

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The Clerk’s Office shall deem the Western District of North Carolina
CM/ECF site to be subject to a technical failure on a given day if the site is
unable to accept filings continuously or intermittently over the course of
any period of time greater than one hour after 10:00 a.m. Eastern Time that
day. Known system outages will be posted on the website if possible.
1.

If the Court’s CM/ECF site experiences a technical failure, a filing
party may submit documents to the Court that day in an alternate
manner. The following method are acceptable alternate means for
filing documents in the case of a technical failure:
in person - by bringing to the Clerk’s Office the documents
in paper form or on a compact disk which contains the
documents in PDF format

2.

Problems on the filer’s end, such as phone line problems, problems
with the filer’s Internet Service Provider (ISP), or hardware or
software problems, will not constitute a technical failure under these
procedures nor excuse an untimely filing. A filer who cannot file a
document electronically because of a problem on the filer’s end may
submit documents to the Court that day in an alternate manner
provided that the documents are accompanied by the filing party’s
affidavit explaining the reason for not filing the documents
electronically.
The following methods are acceptable alternate
means for filing documents in the case of a problem on the filer’s
end:
a.

b.

via fax - if by fax, the document must contain scanned
signature of filing attorney. The s/ standard will not apply
since document will be filed by Clerk’s staff.

3.

I.

in person - by bringing the documents to the Clerk’s Office
in paper form or on a compact disk which contains the
document in PDF format. The s/ standard will not apply since
document will be filed by Clerk’s staff.

A filing party whose filing is made untimely as a result of a
technical failure of the Court’s CM/ECF site may seek
appropriate relief from the Court. Filing parties are cautioned
that, in some circumstances, the Court lacks the authority to
grant an extension of time (e.g., Rule 6(b) of the Federal Rules
of Appellate Procedure.)

PRIVACY
1.

Redacted documents
29

To comply with the policy of the Judicial Conference of the United
States and the E-Government Act of 2002, Pub. L. No.
107347, and in order to promote electronic access to case file while
also protecting personal privacy and other legitimate interests, filing
parties shall omit or, where inclusion is necessary, partially redact
the following personal data identifiers from all pleadings,
documents, and exhibits, whether filed electronically or on paper,
unless the judge orders otherwise:
a.
b.

Financial account numbers: Identify the name or type of
account and the financial institution where maintained, but
use only the last four numbers of the account number;

c.

Social Security numbers: use only the last four numbers;

d.

Dates of birth: use only the year;

e.

Home address: disclose only the city and state; and

f.
2.

Minors’ names: use the initial of minors;

Other data as permitted by order of the Court.

Other redactions
a.
b.

Medical records, treatment and diagnosis;

c.

Employment history;

d.

Individual financial information; and

e.

3.

Personal identifying numbers, such as a driver’s license
number;

Proprietary or trade secret information.

Reference lists
a.

A reference list shall contain the complete personal data
identifier or identifiers and the corresponding redacted
identifier or identifiers used in the redacted document. All
references in the case to the redacted identifiers included in
the reference list will be construed to refer to the
corresponding complete identifier.
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b.
c.
4.

The reference list must be electronically-filed under seal and
may be amended as of right. (Section II.A.11)
The reference list shall be retained by the Court as part of the
record but will not be available for public access.

Responsibility for redaction
The responsibility for redacting personal data identifiers rests solely
with the counsel and the parties. The Clerk’s Office will not review
documents for compliance with this rule, seal on its own motion
documents
containing personal data identifiers, or redact
documents, whether filed electronically or on paper.

III.

CONVENTIONAL FILING OF DOCUMENTS
The following procedures govern documents filed conventionally. The
Court, upon application, may also authorize conventional filing of other
documents otherwise subject to these procedures. The Clerk’s staff will
attempt to scan and upload conventionally-filed documents if possible. The
electronically filed document as it is maintained on the Court’s servers shall
constitute the official version of that record.
A.

PRO SE PARTIES
Parties proceeding pro se shall file paper originals of all complaints,
pleadings, motions, affidavits, briefs, and other documents which must be
signed or which require either verification or an unsworn declaration under
any rule or statute. The Clerk’s Office will scan these original documents
into an electronic file in the System. The electronically-filed document as
it is maintained on the Court’s servers shall constitute the official version
of that record.

B.

DOCUMENTS FOR
IMPRACTICAL

WHICH

ELECTRONIC

FILING

IS

A party shall conventionally submit paper originals of documents which are
not available in electronic form or for which electronic imaging, i.e.,
“scanning,” is impractical. Examples include, but are not limited to, state
court records, maps and other non-document type exhibits.
C.

TRANSCRIPTS OF PROCEEDINGS
Transcripts of proceedings before the U.S. District Judges and Magistrate
Judges in the U.S. District Court for the Western District of North Carolina
taken by Official Court Reporters and Contract Court Reporters will be filed
with the Court in electronic format. Electronic transcripts will be e-filed
31

and available for viewing at the Clerk’s Office public terminal, but may
NOT be copied or reproduced by the Clerk’s Office for a period of 90 days.
If there are no redactions to be made, the restrictions will be removed after
the 90-day period. The transcript will then be available remotely to view,
download or print a copy from PACER at $.08 cents per page or from the
Clerk’s Office public terminal at a rate of $.10 per page. During the initial
90 days after the transcript is e-filed, individuals wishing to purchase a
copy of a transcript in either paper or electronic form - must do so through
the Court Reporter. Once an attorney on the case has purchased a
transcript, that attorney will be given access to the transcript through the
court’s ECF system. This will apply to all transcripts of proceedings or parts
of proceedings filed on or after April 1, 2008, regardless of when the
proceeding occurred.
Whenever an official transcript of a proceeding has been filed by the Court
Reporter, the docket event will include the notice of filing of the official
transcript and will be served on all parties in the case. The responsibility
for redacting personal identifiers rests solely with counsel and
the parties. The Clerk and court reporter will NOT review each
transcript for compliance with this rule.
If redaction is requested, within 21 calendar days from the e-filing of the
transcript with the Clerk, the parties must e-file with the Court a Redaction
Request Re Transcript indicating where the personal identifiers appear in
the transcript by page and line and how they are to be redacted. Access to
this statement will be restricted to the Court and the attorneys of record in
the case. For example, if a party wanted to redact the Social Security
number 12345-6789 appearing on page 12, line 9 of the transcript, the
Redaction Request Re Transcript would read: “Redact the Social Security
number on page 12, line 9 to read xxx-xx-6789.” A party is only responsible
for reviewing and indicating the redactions in the testimony of the
witnesses it called and its own statements (e.g. opening statements and
closing arguments), statements of the party, and any transcript of the
sentencing proceeding. Transcripts of voir dire will be filed separately from
other parts of the trial transcript with electronic access given to the case
participants who purchase the transcript within the 90-day restriction
period. After the 90-day restriction period expires, electronic access to the
voir dire transcripts will be available to all case participants and at the
public terminals located in the Clerk’s Office.
Only the following personal identifiers listed by the Judicial Conference in
its policy on the Electronic Availability of Transcripts may be redacted
using a Redaction Request Re Transcript:
•

Social Security numbers (or taxpayer identification numbers) to the
last four digits
32

•

Financial account numbers: use only the last four numbers of the
account number

•

Dates of birth

•

Individuals known to be minor children to the initials

•

In criminal cases, any home addresses stated in court to the city and
state

If a party wants to redact other information, that party must move the Court
for further redaction by separate motion served on all parties and the court
reporter within the 21-day period. The transcript will not be electronically
available until the Court has ruled on any such motion even though the
90day restriction period may have ended. The court reporter must, within
31 calendar days of the delivery of the transcript to the Clerk of Court, or
longer by order of the Court, perform the requested redactions and file a
redacted version of the transcript with the Clerk of Court.
After the 90-day period, the restriction on any transcript originally filed
with the Clerk of Court will be lifted and the transcript will be available
electronically UNLESS there has been a request for redaction, in which case
the redacted transcript will be made available electronically and the
original will remain restricted but still viewable by the public at the public
terminal in a clerk’s office. Transcripts can only be sealed pursuant to court
order.
Transcripts filed prior to April 1, 2008, will not be available for viewing
electronically.
IV.

EXHIBITS
A.

EXHIBIT INDEX WITH DOCUMENTS BEING FILED IN
CM/ECF

A party electronically submitting more than one exhibit to the Clerk’s Office shall
also include a separate index listing each exhibit then being filed and identifying
the motion to which the index and the exhibits relate.

B.

EXHIBIT LISTS FOR COURT HEARINGS AND/OR TRIALS
1.

Exhibit lists shall be electronically filed in the System prior to the
scheduled court proceedings.

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2.

The exhibit list should be formatted as follows unless otherwise
directed in the Pre-Trial Order and Case Management Plan.
•

•

Exhibits shall be listed numerically by exhibit number.

•

A brief description shall be provided for each exhibit.

•

Provide stipulation of authenticity.

•

Provide stipulation of admissibility.

•

Provide basis for any objections.

•

Include a column heading for “Identified by.”

•

C.

Exhibits shall be identified and numbered separately. Exhibit
numbers should not be preceded by any alphabetical
characters.

Include a column heading for “Admitted.”

COURTROOM TECHNOLOGY AND THE JURY EVIDENCE
RECORDING SYSTEM (JERS)
Parties are expected to use the presentation technology available in the
courtroom to display evidence to the jury. Please refer to the following link
for pertinent information regarding technology training, formatting and
submission of exhibits, exhibit submission deadlines, and restricted access
for
exhibits
imported
into the
System.
www.ncwd.uscourts.gov/courtroom-technology

D.

CONVENTIONAL FILING OF EXHIBITS
A party may conventionally submit exhibits which are not available in
electronic form at the discretion of the Clerk.

E.

SIZE OF EXHIBITS
Whenever possible a filing party should electronically image, i.e. “Scan” a
paper exhibit that is less than five megabytes and submit the exhibit as a PDF
file. Because PDF files containing scanned documents take up considerably
more space on the System than PDF files containing electronically-generated
documents, filing parties may submit PDF files containing scanned
documents of more than five megabytes only if they are filed in separate five
megabyte segments.
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F.

EXHIBITS IN COLOR OR WITH GRAPHICS
Because documents scanned in color or containing graphic take much longer
to upload, filing parties must configure their scanners to scan documents at
200 dpi and in black and white rather than in color. Documents appearing
in color in their original form such as color photographs, may be scanned in
color and then uploaded to the System.

G.

EXHIBITS CONTAINING AUDIO RECORDINGS
Using an option available in Adobe, audio recordings can be attached to a
PDF and uploaded to the system; however, the size must be under 50 MB.
Another option is to make the recording available to the court and other
parties by serving a CD containing the recording on all parties with a
“courtesy copy” for the judge. The original would then be maintained in the
custody of the filer to be produced to the court upon request. The Clerk will
not accept the original for filing in the form of a CD.

H.

VERIFICATION OF EXHIBITS
The filing party is required to verify the readability of scanned documents
before filing them electronically with the Court.

I. CONVENTIONAL SUBMISSION OF EXHIBITS
Exhibits submitted conventionally shall be served on other parties as if not
subject to these procedures.

V.
A.

PUBLIC ACCESS TO THE SYSTEM DOCKET
PUBLIC ACCESS TO THE COURT
Electronic access to the electronic docket and documents filed in the System
is available for viewing to the public at no charge at the Clerk’s Office during
regular business hours. A copy fee for an electronic reproduction is required
in accordance with 28 U.S.C. Section 1914.

B.

INTERNET ACCESS
Remote electronic access to the System for viewing purposes is limited to
subscribers to the Public Access to Court Electronic Records (PACER)
system. The Judicial Conference of the United States has ruled that a user
fee will be charged for remotely accessing certain detailed case information,
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such as filed documents and docket sheets in cases, but excluding review of
calendars and similar general information.
C.

CONVENTIONAL COPIES AND CERTIFIED COPIES
Conventional copies and certified copies of electronically-filed documents
may be purchased at the Clerk’s Office. The fee for copying and certifying
will be in accordance with 28 U.S.C. Section 1914.

VI.

SOCIAL SECURITY AND ERISA ACTIONS
A.

NEED FOR PROTECTIVE GUIDELINES
In light of the E-Government Act and the Privacy Act, and the requirements
of Case Management/Electronic Case Files initiative of the Administrative
Office of the United States Courts, and to further the congressionally
mandated goals of increased efficiency in the administration of justice while
preserving personal, financial, and medical privacy of litigants, the court
finds it necessary and appropriate to prevent inappropriate access to Social
Security and ERISA actions.
Extensive administrative records are filed in conjunction with appeals in
Social Security matters under Title 42, Section 405 of the United States Code,
and civil actions under the Employee Retirement Income Security Act
(ERISA), title 29 Section 1109 of United States Code.
Further, such records contain highly sensitive personal, financial, and
medical information of private citizens which, in other contexts, would be
subject to redaction. For example, such information includes Social Security
numbers, home addresses, personal telephone numbers, account numbers,
and other information that has the potential to be exploited unlawfully.
The Court has carefully considered and balanced the public’s right to access
documents filed with the Court and the privacy interest of litigants, and
determined that this protective section coupled with a method for legitimate
public access by way of motion and judicial review, is the least restrictive
means to protect individual rights to privacy as provided in various statutes.
Specifically, the Court has determined that redaction in such cases is
impractical and would render the record unusable for purposes of judicial
review and that a blanket “Seal” would be overly protective and could intrude
upon legitimate access. These protective guidelines, on the other hand,
protect litigants’ personal information and provides those who may have a
legitimate need to review such materials an avenue for disclosure.

B.

FILING
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The administrative record and/or administrative transcript shall be
electronically filed in Social Security and Employee Retirement Income
Security Act cases as follows:
1.

The above-described records shall be appropriately marked by the
submitting party by placing on the front page or cover of any such
submission the words “Confidential, Subject to Section VI of
Administrative Procedures Governing Filing and Service by
Electronic Procedures by Electronic Means.

2.

After filing, and absent direction from a judge of the Court, the clerk
of this court shall not be required to disclose, copy, scan, publish, or
in any manner provide to any person such above-described electronic
documents, except to:
•

a party of record

•

an attorney for a party of record

•

an authorized employee of an attorney of record, or

•

an employee of the United States Courts.

Routine documents such as the complaint, answer and dispositive
cross-motions or petitions for review are not part of the
administrative record or transcript and are available for public
viewing electronically.
Note: Social Security case electronically-filed documents are
restricted to be available to case participants only electronically and
to the public only at the public terminals located in the Clerk’s Office.
3.

A non-party may seek disclosure of any such protected documents
through the filing of a motion in the case, properly served on all
parties of record in accordance with Rule 5, Federal Rules of Civil
Procedure, showing therein the non-party’s particularized and
legitimate need for such disclosure.

4.

If disclosure is allowed to a non-party under paragraph three, such
person will be required as a condition of precedent to such disclosure,
to sign and return to the Clerk a confidentiality agreement bearing the
caption of this case and stating in substantially the following form:
The undersigned has read and understands the
Standing Protective Order under Rule 26 for
the protection of confidential information
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entered in this case and agrees (1) that he/she
shall fully abide by the restrictions on
disclosure or use said information or discuss it
with any person not authorized to receive the
same or not specifically allowed by an Order
of this Court; (3) that he/she shall not use said
confidential information for any purpose
other than for the purposes of this litigation
or for some other purpose as may be provided
by the Order of this Court; and (4) that he/she
hereby submits himself/herself to the
jurisdiction of this Court to enforce this
agreement.
Signed:

Name of Recipient

5.

These restrictions shall not terminate with the litigation, but shall
continue until further order of the Court; provided however, that
these protective guidelines shall not have any retroactive force and
effect, shall not be construed as providing any person or party with
rights other than those provided by statute, shall not be construed to
prevent any party or counsel from making use of information which,
as evidenced by written records, was lawfully in its possession or later
lawfully came into its possession; is or was public knowledge at the
time of or prior to disclosure hereunder; or becomes public
knowledge through no fault of receiving counsel or the public
knowledge through no fault of receiving counsel or the receiving
persons during the course of the litigation.

6.

Nothing herein shall be construed as to prevent parties to such Social
Security or ERISA actions from arguing, citing, excerpting, or
attaching portions of any such transcript to their pleadings and
memoranda.

7.

Nothing herein shall prejudice the right of any party to apply to the
Court for relief from the terms of these protective guidelines, upon
good cause shown, or to seek an Order to extend, modify, or limit the
application of this Order.

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Appendix I
UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF NORTH CAROLINA
DOCUMENT DISPOSITION PLAN

Effective January 1, 2010, the disposition of documents conventionally sub-mitted to
the Court shall be governed by this Plan which has been established pursuant to the
Administrative Procedures of the Court, Judicial Conference Policy adopted under 28
U.S.C. §457 and in accordance with the Federal Records Act 44 U.S.C. chapters 21,
29, 31 and 33.
Effective January 1, 2010, the disposition of documents conventionally submitted to
the Court shall be governed by this Plan which has been established pursuant to the
Administrative Procedures of the Court, Judicial Conference Policy adopted under 28
U.S.C. §457 and in accordance with the Federal Records Act 44 U.S.C. chapters 21, 29,
31 and 33.
The official court record shall be the electronic file maintained on the court’s servers
and any documents or exhibits allowed to be filed conventionally and are not available
in electronic format.
I. CHRONOLOGICAL FILES
Chronological files will be created for the retention of conventionally filed documents
after the documents are filed and uploaded to the CM-ECF System, hereinafter
referred to as the “System”.
Each division of the Clerk’s office will establish a system of chronological files in the
following categories: Civil, Prisoner Pro Se, Criminal, Magistrate, and Miscellaneous.
The chronological files will be available to court users only.
Chronological files will be maintained by month in each division for a period of one
year. Upon expiration of the one year retention period, the documents will be
shredded through the use of a bonded document shredding provider contracted by the
Court or by court personnel.
A. CONVENTIONALLY FILED DOCUMENTS
Documents conventionally submitted for filing with the Clerk will be scanned and
uploaded to the System. Scanned documents will be maintained in the chronological
files as established by Section I and as otherwise directed by Paragraphs A through F.

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B. CRIMINAL CHARGING DOCUMENTS
1. BILLS OF INDICTMENT
The Clerk will scan the Bills of Indictment returned from each grand jury session with
the last page redacted to remove the foreperson’s signature. The redacted pdf
document will be uploaded to the system.
The Clerk’s staff will remove the last page containing the foreperson’s signature from
each original bill returned which will be scanned unredacted and attached as a
restricted document to the redacted bill of indictment pdf document when uploaded
to the System.
Indictment volumes will be established in each divisional office of the Clerk for the
retention of the original Bills of Indictment. The indictment volumes will be available
only to court users and will be shipped to the Federal Records Center with a 20 year
disposal date.
2. BILLS OF INFORMATION AND CRIMINAL COMPLAINTS
Bills of Information and criminal complaints will be scanned and uploaded to the
System. The originals of each document will be maintained in the divisional office
chronological file as established under Section A and retained for a period of one year.

C. SEARCH/SEIZURE WARRANTS
Original search and seizure warrants shall be returned to the U.S. Attorney at the time
of issuance. A copy should be retained to be scanned and uploaded to the System.
When the warrants are returned before the Magistrate Judge, the executed warrant
will be filed, scanned and uploaded to the System. The document will be maintained
in the divisional office chronological file as established under Section A and retained
for a period of one year.
D. SEALED DOCUMENTS
Sealed documents submitted conventionally for filing pursuant to the sealed
procedures of this court will be scanned and uploaded to the System. The original
document should be clearly marked as SEALED prior to placing the document in the
divisional office chronological file as established under Section A and retained for a
period of one year.

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E. PRISONER PRO SE DOCUMENTS

Pro Se prisoner documents submitted for filing with the Clerk will be scanned and
uploaded to the System for pro se prisoner actions filed pursuant to Title 42 U.S.C.
§1983, 28 U.S.C. §2254 and 28 U.S.C. §2255. The scanned documents will be
maintained in the chronological file as established for prisoner pro se under Section I
for a period of one year.
At the conclusion of the one year retention period, the documents may be provided to
the pro se law clerks for future reference or shredded in the manner established in
Section I. The Clerk will not retain the documents after the expiration of the one year
retention period.
F. ARCHIVED FILES
Skeleton case dockets should be opened on the System for filing conventionally filed
documents in civil cases filed prior to February 1992 and criminal cases filed prior to
May 1993. Documents conventionally submitted for filing with the Clerk will be
scanned and uploaded to the System. Scanned documents will be maintained in the
chronological files as established by Section I and as otherwise directed by Paragraphs
A through F.

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