Electronic case filing policies and procedures manual

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF INDIANA

ELECTRONIC CASE FILING

POLICIES AND PROCEDURES MANUAL

Effective July 1, 2020

 
 

Electronic Case Filing  
Policies and Procedures Manual 
  
 
 
 
 
INTRODUCTION ................................................................................................................................ 3 
 AUTHORIZATION FOR ELECTRONIC FILING .................................................................................. 3 
 DEFINITIONS AND INSTRUCTIONS ................................................................................................ 3 
 APPLICATION OF RULES AND ORDERS ......................................................................................... 4 
 CASES SUBJECT TO ELECTRONIC CASE FILING ............................................................................ 4 
 SYSTEM REQUIREMENTS ............................................................................................................. 5 
 FILING CASE INITIATING DOCUMENTS ........................................................................................ 6 
 FILING DOCUMENTS ELECTRONICALLY ....................................................................................... 6 
 CASE DOCKET ............................................................................................................................. 7 
 SYSTEM AVAILABILITY ............................................................................................................... 7 
 REGISTRATION .......................................................................................................................... 7 
 SERVICE OF ELECTRONICALLY FILED DOCUMENTS ................................................................... 8 
 APPEARANCES ........................................................................................................................... 8 
 FORMAT FOR ELECTRONIC FILINGS ........................................................................................... 9 
 SIGNATURE BLOCK ................................................................................................................. 11 
 MANUAL FILINGS .................................................................................................................... 12 
 TECHNICAL DIFFICULTIES ....................................................................................................... 12 
 RETENTION OF ORIGINALS OF DOCUMENTS REQUIRING SCANNING ........................................ 13 
 SEALED FILINGS ...................................................................................................................... 13 
 RESTRICTED ACCESS FILINGS – SUBMISSION OF SENTENCING LETTERS ................................. 17 
 EX PARTE DOCUMENTS ............................................................................................................ 17 
CONTACT INFORMATION .......................................................................................................... 18 
APPENDIX A ................................................................................................................................... 19 
APPENDIX B ................................................................................................................................... 22 
APPENDIX C ................................................................................................................................... 23 
APPENDIX D ................................................................................................................................... 24 
 
 
 
 
 
 
 
 
 
 
 
 

Introduction

The Court's Case Management/Electronic Case Filing system, CM/ECF, permits attorneys

appearing in all pending civil and criminal cases to file documents with the Court via the Internet

using the Electronic Case Filing (ECF) portion of the system. This ECF Policies and Procedures

Manual governs electronic filing in all civil and criminal cases within the Southern District of

Indiana. Attorneys, parties, and pro se litigants may view civil and criminal dockets as well as

electronically filed documents via the Internet using the PACER (Public Access to Court

Electronic Records) portion of the system.

1. Authorization for Electronic Filing

FED.R.CIV.P. 5(d)(3) and FED.R.CRIM.P. 49(b)(3) require electronic filing. The following

policies and procedures govern electronic filing in this district unless, due to circumstances in

a particular case, a judicial officer determines that these policies and procedures should be

modified.

2. Definitions and Instructions

The following definitions and instructions shall apply to these Electronic Case Filing Policies

and Procedures:

2.1 The term "document" shall include a pleading, motion, exhibit, declaration,

affidavit, memoranda, paper, order, notice, and any other filing by or to the Court.

2.2 The term "attorney" shall include counsel of record.

2.3 All hours stated shall be the local time of the division to which the case has been

assigned (Local Rule 5-4).

2.4 The term "Notice of Electronic Filing" is used to refer to the email notice that is

automatically generated by the Electronic Case Filing System at the time a

document is filed by an attorney, or an order is entered by the Court. The Notice of

Electronic Filing (NEF) will set forth the time of filing or issuance, the type of

document, the text of the docket entry, the name of the attorney(s) receiving the

notice, and an electronic link (hyperlink) to the document, which allows recipients

to retrieve the document electronically.

2.5 The term "PDF" is used to refer to a document that exists in Portable Document

Format. A document file created with a word processor or a paper document that

has been scanned must first be converted to portable document format before the

document can be electronically filed with the Court. Converted files contain the

extension ".pdf".

2.6 The term "ECF" is used to refer to the Electronic Case Filing portion of the Court's

CM/ECF System, which must be accessed by attorneys for the purpose of filing

documents electronically in civil and criminal cases pending before the Court.

Attorneys of record in pending cases must submit an ECF Registration Form in

order to obtain an ECF login and password with which to file documents

electronically. (See Appendix A).

2.7 The term "PACER" (Public Access to Court Electronic Records) is used to refer to

the Public Access portion of the Court’s CM/ECF System. PACER may be

accessed by members of the public and attorneys for the purpose of viewing case

dockets and electronically filed documents in cases pending before the Court.

Individuals may obtain a PACER login and password at https://pacer.uscourts.gov

or (800) 676-6856.

3. Application of Rules and Orders

Unless modified by order of the Court, all Federal Rules of Civil and Criminal Procedure and

Local Rules shall continue to apply to cases maintained in the Court's Case

Management/Electronic Case Filing System (CM/ECF).

4. Cases Subject to Electronic Case Filing

Electronic filing by attorneys is required for eligible documents filed in civil and criminal cases

pending with the Court, unless specifically exempted by Local Rule or Court Order. Attorneys

may register for an ECF login and password with which to file documents electronically by

visiting the Court's website at www.insd.uscourts.gov or by contacting the Clerk's Office.

U.S. District Court, Southern District of Indiana

Attn: Office of the Clerk

Address: 46 East Ohio Street, Room 105

Indianapolis, IN 46204

Phone: (317) 229-3700

Attorneys, parties, and pro se litigants may view dockets and electronically filed documents

via the Internet through the use of the Court's PACER (Public Access to Court Electronic

Records) system. A login and password may be obtained by visiting the PACER website at

https://pacer.uscourts.gov or contacting the PACER Service Center at (800) 676-6856.

5. System Requirements

The following hardware and software are needed to electronically file documents and receive

electronic notice of case activity via the Electronic Case Filing system:

a. A computer running a Windows or a Macintosh operating system;

b. Software used to create PDF documents from a word processing application, such as

Adobe Acrobat Professional® (links to free PDF creators can be found on the Court’s

website at www.insd.uscourts.gov);

c. A PDF viewer, such as Adobe Acrobat Reader® (free download available at

www.adobe.com);

d. A PDF-compatible word processor like Macintosh or Windows-based versions of

Microsoft Word®;

e. An Internet browser, such as Internet Explorer® or Firefox® (128-bit encryption is

strongly recommended);

f. Internet access and an email address;

g. Access to a scanner may be necessary for paper exhibits which must be scanned into

PDF pursuant to Local Rule 5-1(c); and

h. The filing attorney must have an ECF login and password assigned by the Clerk with

which to access the Court's Electronic Case Filing system. (See Appendix A).

NOTE: To view dockets and electronically filed documents through the Court's PACER

system, users must access the system through a PACER login and password. Attorneys and

parties may register for a PACER account at https://pacer.uscourts.gov or (800) 676-6856.

6. Filing Case Initiating Documents

A Civil Complaint or Notice of Removal may be filed, fee paid, and summons issued

electronically through the CM/ECF system. Case initiating papers, including a civil cover

sheet, must be served in the traditional manner on paper, rather than electronically. All

subsequent papers must be filed electronically except as provided by Local Rule or Court

Order. (Local Rule 5-2).

A Criminal Complaint, Information, or Indictment shall be filed and served in the traditional

manner on paper, rather than electronically.

7. Filing Documents Electronically

Electronic transmission of a document consistent with the procedures adopted by the Court

shall, upon the complete receipt of the same by the Clerk of Court, constitute filing of the

document for all purposes of the Federal Rules of Civil and Criminal Procedure and the Local

Rules of this Court, and shall constitute entry of that document onto the docket maintained by

the Clerk pursuant to FED.R.CIV.P. 58 and 79.

A Notice of Electronic Filing (NEF) acknowledging that the document has been filed will

immediately appear on the filer's screen after the document has been submitted. Attorneys are

strongly encouraged to print or electronically save a copy of the NEF. Attorneys can also verify

the filing of documents by inspecting the Court's electronic docket sheet through the use of a

PACER login. The Court may, upon the motion of a party or upon its own motion, strike any

inappropriately filed document.

Documents filed electronically must be submitted in PDF (Portable Document Format). Filing

documents electronically does not alter filing deadlines. All electronic transmissions of

documents must be completed (i.e. received completely by the Clerk's Office) prior to midnight

of the local time of the division in which the case is pending in order to be considered timely

filed that day (NOTE: time will be noted in Eastern Time on the Court's docket. If you have

filed a document prior to midnight local time of the division in which the case is pending and

the document is due that date, but the electronic receipt and docket reflect the following

calendar day, please contact the Court). Although attorneys may file documents electronically

24 hours a day, 7 days a week, attorneys are encouraged to file all documents during the normal

working hours of the Clerk's Office (Monday through Friday, 8:30 a.m. to 4:30 p.m.) when

technical support is available.

8. Case Docket

Upon the electronic filing of a document, a docket entry will be automatically created by the

CM/ECF System, using the information provided by the filing party. The Clerk of Court, where

necessary and appropriate, will modify the docket entry description to comply with quality

control standards.

9. System Availability

The Court's system is designed to provide service 24 hours a day, 7 days a week. Occasionally

the CM/ECF system may be unavailable for brief scheduled maintenance. Notice of scheduled

maintenance will be posted on the Court's website in advance. Attorneys are encouraged to file

documents in advance of filing deadlines and during normal business hours. Questions

regarding the electronic filing system and the registration process should be referred to the

Clerk's Office, at (317) 229-3700. Technical difficulties should be referred to the Court's Help

Desk, at (317) 229-3737. The Help Desk is staffed on business days from 8:30 a.m. to 4:30

p.m.

10. Registration

Attorneys seeking to file electronically must be admitted to practice in the U.S. District Court

for the Southern District of Indiana, either via standard or pro hac vice admission, and must

be in good standing. Each attorney seeking to file documents electronically must also submit

a completed Electronic Case Filing Attorney Registration Form (Appendix A). Regardless

of the division in which the attorney most frequently practices, the form may be submitted

in .pdf format, via e-mail to the following address: [email protected] . Please

include "ECF Registration" and the attorney’s name in the subject line.

Alternatively, a hard copy may be mailed to:

U.S. District Court, Southern District of Indiana

Attn: ECF Registration Processing

46 East Ohio Street, Room 105

Indianapolis, IN 46204

A registering attorney will receive an e-mail message indicating that his/her login and

password have been assigned; this is to ensure that the attorney's e-mail address has been

entered correctly in the ECF System. Use of the login and password when filing documents

will serve in part as that attorney's signature for purposes of FED.R.CIV.P.11. Attorneys agree

to protect the security of their passwords and immediately notify the Clerk of Court if they

learn that their password has been compromised.

11. Service of Electronically Filed Documents

By participating in the Electronic Case Filing Program, attorneys consent to the electronic

service of documents, and shall make available electronic mail addresses for service. Upon

the filing of a document by a party, an e-mail message will be automatically generated by

the electronic filing system and sent via electronic mail to the e-mail addresses of all

registered attorneys who have appeared in the case. The Notice of Electronic Filing will

contain a document hyperlink which will provide recipients with one "free look" at the

electronically filed document. Recipients are encouraged to print and/or save a copy of the

document during the "free look" to avoid incurring PACER charges for future viewings of

the document. It is the responsibility of the filing attorney to conventionally serve all parties

who do not receive electronic service (the identity of these parties will be indicated on the

filing receipt generated by the ECF system). In addition to receiving e-mail notifications of

filing activity, the parties are strongly encouraged to sign on to the PACER system at regular

intervals to check the docket in their case.

Filing electronically effectuates service on all registered attorneys. If all attorneys in a case

are registered, no separate certificate of service should be included. A certificate of service

must be included when electronically filed documents require service by other means,

including documents served on unrepresented litigants. See FED.R.CIV.P. 5(d)(1)(B).

A service statement and/or list must be included on each proposed order, as required by Local

Rule 5-5(d). Pursuant to Local Rule 5-5(b)(2), if a party is represented by multiple attorneys

from the same law firm, and one or more is ECF-registered, notice of entry of an order or

judgment in a case assigned to the Electronic Case Filing System will be transmitted only to

the ECF-registered user(s).

A current distribution/service list for a case, may be obtained through the "Mailings" feature

located under the "Utilities" menu in the Electronic Case Filing System.

12. Appearances

The filing of a Notice of Appearance shall act to establish the filing attorney as an attorney

of record representing a designated party or parties in a particular cause of action. As a result,

it is necessary for each attorney to file a separate Notice of Appearance when entering an

appearance in a case. A joint appearance on behalf of multiple attorneys may be filed

electronically only if it is filed separately for each attorney, using his/her ECF login.

A Notice of Appearance filed in a case which is maintained under seal must be filed in the

traditional paper manner in order to establish the filing attorney as an attorney of record

before access may be granted to the sealed case.

13. Format for Electronic Filings

Electronically filed documents must meet the requirements of FED.R.CIV.P. 10 (Form of

Pleadings), Local Rule 5-1 (Format of Papers Presented for Filing), and FED.R.CIV.P. 5.2

and FED.R.CRIM.P. 49.1 (Privacy Protection for Filings Made with the Court), as if they had

been submitted on paper. Documents filed electronically are also subject to any page

limitations set forth by Court Order, by Local Rule 7-1 (Motion Practice), or Local Rule 56-

1 (Summary Judgment Practice), as applicable. Documents in cases removed from state court

are subject to very specific filing requirements that are detailed in Local Rule 81-2.

A key objective of the electronic filing system is to ensure that as much of the case as possible

is managed electronically. To facilitate electronic filing and retrieval, documents to be filed

electronically are to be reasonably broken into their separate component parts. By way of

example, most filings include a foundation document (e.g., motion) and other supporting

items (e.g., exhibits, proposed orders, proposed amended pleadings). The foundation

document, as well as the supporting items, are each separate components of the filing;

supporting items must be filed as attachments to the foundation document. These exhibits or

attachments should include only those excerpts of the referenced documents that are directly

germane to the matter under consideration.

Except as otherwise specified in Local Rule 81-2, when uploading attachments during the

electronic filing process, exhibits must be uploaded in a logical sequence and a brief

description must be entered for each individual PDF file. The description must include not

only the exhibit number or letter, but also a brief description of the document. This

information may be entered in CM/ECF using a combination of the Category drop-down

menu, the Description text box, or both (See Figure 1 below). The information that is

provided in each box will be combined to create a description of the document as it appears

on the case docket (See Figure 2 below).

EXAMPLE: A Motion for Continuance is filed with the following three attachments:

Exhibit A – Affidavit of John Brown

Exhibit B - Letter from Bob Smith

Proposed Order

Figure 1

09/1/2008

MOTION for Continuance, filed by Plaintiff XYZ CORPORATION.

(Attachments: # 1 Exhibit A - Affidavit of John Brown, # 2 Exhibit

B - Letter from Bob Smith, 12/20/08, # 3 Text of Proposed Order)

Figure 2

To facilitate document retrieval for users who are accessing the system, components may not

exceed an electronic file size of 35 megabytes. (Local Rule 5-1). To electronically file a

document or attachment that exceeds 35 MB, the document must first be broken down into

two or more smaller files. For example, if Exhibit A is a 40 MB PDF file, it should be divided

into 2 equal parts prior to electronic filing. Each component part of the exhibit would be filed

as an attachment to the main document and described appropriately as "Exhibit A (part 1 of

2)" and "Exhibit A (part 2 of 2)."

The supporting items mentioned above should not be confused with memorandums or briefs

in support of motions as outlined in Local Rule 7-1 or 56-1. These memorandums or briefs

in support are to be filed as entirely separate documents pursuant to the appropriate rule.

Additionally, no motion shall be embodied in the text of a response or reply

brief/memorandum unless otherwise ordered by the Court.

All pleadings and other filings, including motions, briefs, and proposed orders must be

converted to PDF format directly from a word processing program (e.g. Microsoft® Word),

rather than created from the scanned image of a paper document. An exhibit may be scanned

into PDF format, at a recommended 300 dpi resolution or higher, only if it does not already

exist in electronic format. The filing attorney is responsible for reviewing all PDF documents

for legibility before submitting them through the Court's Electronic Case Filing system. For

technical guidance in creating PDF documents, please contact the Clerk’s Office at (317)

229-3700.

Where an individual component cannot be included in an electronic filing (e.g. the

component cannot be converted to electronic format), the filer shall electronically file the

prescribed Notice of Manual Filing in place of that component. A model form is provided as

Appendix C.

Note: Sealed documents must be filed electronically as required by Local Rule 5-11 and

Local Criminal Rule 49.1-2. See Section 18 of this Policies and Procedures Manual.

The following example illustrates the application of this section:

An attorney seeks to file a motion with three exhibits (A, B, and C), and a proposed order.

The motion is a text document that was created with a word processing application and after

conversion to PDF has a file size of 45kb. Exhibit A is a scanned image of a one-page

document that after conversion to PDF has a size of 200kb. Exhibit B is a 100-page

deposition transcript that exists on CD and after conversion to PDF it has a size of 5 MB.

Exhibit C is an object that cannot be converted to digital format, such as a videotape. The

proposed order is a text document that after conversion to PDF has a file size of 5kb.

To facilitate easy retrieval of any individual component, each document must be kept as a

separate component (PDF file) rather than being merged together as one file. Each of the

components should be filed electronically through the Electronic Case Filing System in one

submission by filing the motion as the main document and attaching the exhibits and

proposed order to the motion.

Exhibit C is a videotape and exists in a format that cannot be filed electronically. During the

electronic submission, when Exhibit C would normally be attached to the motion, it should

instead be replaced by a Notice of Manual Filing (Appendix C) clearly stating what the

exhibit is and why it cannot be filed electronically. Exhibit C should then be filed and served

as it would if a traditional paper filing system were being used. When Exhibit C is presented

to the Clerk for manual filing, it should be accompanied by a paper copy of the Notice of

Manual Filing that was electronically filed in its place.

14. Signature Block

Use of the attorney's login and password when filing documents electronically serves in part

as the attorney's signature for purposes of FED.R.CIV.P. 11, the Local Rules of this Court,

and any other purpose for which a signature is required in connection with proceedings

before the Court. Consistent with Local Rule 5-7, all documents filed electronically under a

filing attorney's ECF login shall include the filing attorney's name on a signature block where

the attorney's handwritten signature would otherwise appear, and shall include the filing

attorney's typewritten name, address, telephone number, facsimile number and e-mail

address, as shown below. Documents signed by an attorney must be filed using that attorney's

ECF log-in and password and may not be filed using a log-in and password belonging to

another attorney.

[Name of Filing Attorney]

Name of Filing Attorney

Law Firm Name

Address

City, State, ZIP Code

Phone: (xxx) xxx-xxxx

Fax: (xxx) xxx-xxxx

E-mail: [email protected]

Documents requiring signatures of more than one attorney shall be filed either by: (a)

obtaining consent from the other attorney, then typing the "[Name]" signature of the other

attorney on the signature line where the other attorney's signature would otherwise appear;

(b) identifying in the signature section the name of the other attorney whose signature is

required and by the submission of a Notice of Endorsement (See Appendix B) by the other

attorney no later than three business days after filing; (c) submitting a scanned document

containing all handwritten signatures; or (d) in any other manner approved by the Court.

Documents requiring a signature other than that of an attorney must bear an original

handwritten signature and must be scanned into PDF for electronic filing.

15. Manual Filings

Parties otherwise participating in the electronic filing system may be excused from filing a

particular component electronically under certain limited circumstances, such as when the

component cannot be reduced to an electronic format. Such components shall not be filed

electronically, but instead shall be manually filed with the Clerk of Court and served upon

the parties in accordance with the applicable Federal Rules of Civil and Criminal Procedure

and the Local Rules for filing and service of non-electronic documents.

Before making a manual filing of a component, the filing party shall first electronically file

a Notice of Manual Filing (See Appendix C). The filer shall initiate the electronic filing

process as if filing the actual component but shall instead attach to the filing the Notice of

Manual Filing setting forth the reason(s) why the component cannot be filed electronically.

The manual filing should be accompanied by a copy of the previously filed Notice of Manual

Filing. A party may seek to have a component excluded from electronic filing pursuant to

applicable Federal and Local Rules (e.g. FED.R.CIV.P. 26(c)).

16. Technical Difficulties

Parties are encouraged to file documents electronically during normal business hours in case

a problem is encountered. In the event of a technical failure that prevents a document from

being filed electronically despite the best efforts of the filing party, the party should print (if

possible) a copy of the error message received. In addition, as soon as practically possible,

the party should file a "Declaration that Party was Unable to File in a Timely Manner Due to

Technical Difficulties." A model form is provided as Appendix D.

If a party is unable to file electronically and, as a result, may miss a filing deadline, the party

must contact the Clerk's Office at (317) 229-3700, or by sending an email to

[email protected] to inform the court's staff of the difficulty. If a party misses

a filing deadline due to an inability to file electronically, the party may submit the untimely

filed document, accompanied by a declaration stating the reason(s) for missing the deadline.

Unless the Court orders otherwise, the document and declaration must be filed no later than

12:00 noon of the first day on which the Court is open for business following the original

filing deadline.

17. Retention of Originals of Documents Requiring Scanning

Originals of documents filed electronically which require scanning (e.g. documents that

contain signatures such as affidavits) must be retained for a period of two years following

the expiration of all time periods for appeals (Local Rule 5-9) by the filing party and made

available, upon request, to the Court and other parties.

18. Sealed Filings

Criminal Matters

In criminal matters, which may include criminal, magistrate, or petty offense case types,

documents may be filed under seal without motion or further order of the court pursuant to

Local Criminal Rule 49.1-2(c), provided counsel has a good faith belief that sealing is

required to ensure the safety, privacy or cooperation of a person or entity, or to otherwise

protect a substantial public interest.

A document filed under seal in a criminal matter must be accompanied by a "Sealed Cover

Sheet." The contents of the Sealed Cover Sheet are set forth in Local Criminal Rule 49.1-

2(d)(1).

Civil Matters

In civil matters, which may include civil or miscellaneous case types, a document may be

filed under seal only if the document is subject to sealing by a prior order of the court,

accompanied by a motion as required by Local Rule 5-11 (Filing Under Seal—Civil Cases)

or Local Rule 5-10 (Names of Parties—Pseudonym Litigant), or filed under seal pursuant to

FED.R.CIV.P. 5.2.

Service of Sealed Filings

Documents filed electronically under seal are served upon opposing counsel through the

court's CM/ECF system. However, paper service of documents is still required for all pro se

parties.

Sealed Filing Procedure

A sealed document must be filed electronically via the court's CM/ECF system, unless listed

as an exception to the electronic filing requirement under Local Rule 5-2(a) or Local

Criminal Rule 49-1(a). As with any electronically filed document, sealed filings must be

submitted by an attorney of record in the case for which the document is being filed and must

be filed on behalf of a party or parties for whom the filing attorney has previously appeared.

a) Filing a Document in a CASE that is under Seal (applies to civil and criminal

matters)

Sealed cases, as well as associated docket entries and documents, are not available for

public viewing via the court's PACER system. Therefore, documents filed electronically

in a sealed case may be filed using any event from the CM/ECF civil or criminal events

menu. It is not necessary to use one of the sealed filing events listed under subsection (b)

when filing document in a sealed case. Before counsel may electronically file a

document in a sealed case, the attorney must first file a Notice of Appearance in the

traditional paper manner to obtain access to the sealed case via CM/ECF.

When a document is electronically filed in a sealed case, a redacted Notice of Electronic

Filing (NEF) is distributed via email to counsel of record in the case, including the filing

attorney. For that reason, filers should print the Notice of Electronic Filing confirmation

screen that appears at the conclusion of the filing as proof of the transmission to the court.

NOTE: If a sealed case is later unsealed by order of the court, any or all of the documents

previously filed in the case may also be unsealed. Prior to the unsealing of a case, counsel

should bring to the court’s attention any documents in the record which should remain

under seal.

b) Filing a Sealed Document in a Case that is NOT under Seal

Sealed documents filed electronically in a case that is not under seal must be submitted

using one of the sealed civil or criminal filing events listed below.

Civil Matters

Sealed Civil Filing Events

• SEALED Motion (Motion filed under Seal) (Sealed – doc)

• SEALED Response to Motion (Sealed – doc)

• SEALED Reply in Support of Motion (Sealed – doc)

• SEALED Document (Sealed – doc)

• Redaction Index (Sealed – doc)

Availability

PDF documents filed electronically using a sealed civil event are not accessible to the

public via the court's PACER system. Docket text/entries generated by the CM/ECF

system or entered by the filer during the electronic filing process are displayed on the

court's docket and available for public viewing via PACER.

Service

Each of the sealed civil events generates and distributes a Notice of Electronic Filing to

ECF-registered counsel of record. The Notice of Electronic Filing provides recipients

with the docket text, a description of the document(s) filed, and U permits recipients to

view any PDF document(s) filed under seal.

Criminal Matters

Sealed Criminal Filing Events

* Events that offer the filer the option to seal are designated as "optional Sealed"

• Plea Agreement (optional Sealed – entry)

• Petition to Enter a Plea of Guilty (optional Sealed – entry)

• Combined Petition to Enter Plea/Plea Agreement/Stipulation of Facts (optional

Sealed – entry)

• Addendum to Plea Agreement (optional Sealed – entry)

• Stipulated Factual Basis (optional Sealed – entry)

• SEALED Motion – Motion filed under Seal (Sealed – entry)

• Motion for Temporary Custody (optional Sealed – entry)

• Motion for Writ of Garnishment (optional Sealed – entry)

• Response to Motion (Sealed - entry)

• Reply in Support of Motion (Sealed – entry)

• OBJECTION to Presentence Investigation Report (optional Sealed – entry)

• SEALED Document (Sealed – entry)

• Submission of Signature Requirement (optional Sealed – entry)

Availability

Docket text/entries and associated PDF documents filed electronically using a sealed

criminal event are not displayed on the court's docket for public viewing via the court's

PACER System.

Service

Sealed criminal events do generate and distribute a redacted Notice of Electronic Filing

to ECF-registered counsel of record. The redacted Notice of Electronic Filing provides

recipients with a link to the docket text, a description of the document(s) filed, and

permits recipients to view any PDF document(s) filed under seal.

c) Split Filings; filings in which at least one, but not all documents are sealed

Sealed exhibits or attachments filed in conjunction with a non-sealed foundation

document (e.g., motion, brief, response, reply) must be submitted in a separate

transaction using the appropriate sealed event. For example, a non-sealed response might

be filed with 10 exhibits, only 3 of which are sealed. In this situation, the foundation

document (response) and any non-sealed exhibits must first be filed using the appropriate

non-sealed filing event. Then, in a separate filing, using the SEALED Document event,

the filer should submit the Sealed Cover Sheet as the main document and each of the 3

sealed exhibits as attachments.

RESPONSE in Opposition re 14 MOTION for Summary Judgment filed by

ROBERT SMITH. (Attachments: #1 Exhibit 1 #2 Exhibit 2 #3 Exhibit 5 #4

Exhibit 6 #5 Exhibit 7 #6 Exhibit 9 #7 Exhibit 10) (Jones, Michael)

SEALED Exhibits in Support re 26 Response in Opposition to Motion filed

by ROBERT SMITH. (Attachments: #1 Sealed Exhibit 3 #2 Sealed Exhibit 4

#3 Sealed Exhibit 8) (Jones, Michael)

d) Motions to Seal

A motion to seal is not filed under seal unless sealing is warranted because the content

and the existence of the document to be sealed should not be revealed on the court’s

public docket. Whether filed under seal or not, a motion to seal is filed electronically and

must be accompanied by a proposed order, which is required by Local Rule 7-1(d) and

is filed as an attachment to the motion.

When filing a motion to seal a document, the document that is the object of the motion

to seal must first be filed electronically using the appropriate sealed event listed under

subsection (b). After filing under seal the document that is the object of the motion to

seal, the motion may be filed and should be linked to the sealed filing.

If the motion to seal is granted, the object of the motion shall remain under seal. If the

motion to seal is denied, the object of the motion will be unsealed upon issuance of the

order.

19. Restricted Access Filings – Submission of Sentencing Letters

Under appropriate circumstances, counsel may file documents and restrict access to only

case parties and the court. This filing restriction can only be used under specific

circumstances and for specific documents, and only when authorized by the court.

Counsel for each criminal defendant is encouraged to be the recipient of all letters in support

of the defendant, and counsel for the government is encouraged to be the recipient of all

victim impact letters. Counsel must file all defendant support and victim impact letters

received, via CM/ECF, using the event listed below, which restricts access to these

documents to case participants and the court. Submission of these letters via CM/ECF will

allow the content of letters to become quickly accessible to the assigned Probation Officer,

the Judge, and opposing counsel. Because access to the letters is restricted to case participants

only, redaction under FED.R.CRIM.P. 49.1 is not required.

To restrict access to case participants, counsel will submit victim impact letters and letters in

support of defendants through the court's CM/ECF system, using the following event, which

is located under "Other Documents":

• Sentencing Letter (Case participants – entry)

20. Ex Parte Documents

Ex parte documents must be filed electronically, as required by Local Rule 5-1. All ex parte

filings must be submitted using an appropriate "EX PARTE" filing event.

Ex Parte Civil and Criminal Filing Events

• EX PARTE Filing (ex parte – entry)

• EX PARTE Motion (ex parte-entry)

Docket text and PDF documents associated with an electronic filing created using an "EX

PARTE" filing event are not posted on the Court's public docket and cannot be accessed via

the Court's Counsel PACER System.

When a filing is submitted electronically using an "EX PARTE" filing event, a Notice of

Electronic Filing is distributed via email only to counsel for the filing party. If the Motion

remains ex parte at the time of the Court's ruling, any Order issued referencing the "EX

PARTE" Motion will generate and distribute a NEF only to counsel for the applicable party.

21. Contact Information

Additional information about electronic filing may be obtained by visiting the court's website

at www.insd.uscourts.gov, contacting the Clerk's Office during regular business hours at

(317) 229-3700, or sending an email to [email protected].

Appendix A

UNITED STATES DISTRICT COURT

FOR THE

SOUTHERN DISTRICT OF INDIANA

ELECTRONIC CASE FILING

Attorney Registration Form

This form is used to register for an account on the Court's Electronic Case Filing (ECF) system.

Attorneys in the Southern District of Indiana are required to file documents using the ECF

system and will receive electronic notice of documents issued by the Court or filed by other

registered attorneys.

The following information is required for ECF registration:

First/Middle/Last Name:

Attorney Bar ID #: State:

Firm Name:

Firm Address:

Voice Phone Number:

FAX Phone Number:

Primary E-Mail Address:

Secondary E-Mail Address(es): ___________________________________________________

Basis for attorney's request to access the Court's Electronic Case Filing system (check one):

⁪ Admitted in INSD ⁪ Pro Hac Vice ⁪ Government Attorney ⁪ MDL Case

⁪ Appointed by Seventh Circuit

If "Pro Hac Vice," "Government Attorney," "MDL Case," or "Appointed by Seventh Circuit,"

please indicate the cause number for which admission is pending or has been granted:

Cause Number:

The information below will be used to generate a unique login for use in accessing the ECF system.

Please provide a four-digit number that is easy to remember.

First Initial of Full Last Name 4 Digit Number

First Name

By submitting this registration form, the undersigned agrees to abide by all Court rules, orders,

and policies and procedures governing the use of the electronic filing system, including

electronic civil case opening. The undersigned also consents to receiving service of filings via

the Court's electronic filing system.

1. This system is for cases in the U.S. District Court for the Southern District of Indiana.

Admitted attorneys must use the system to file documents electronically for all pending

civil and criminal cases in the Southern District of Indiana.

2. Every motion and other paper being filed (except exhibits, lists, statements or

amendments thereto) must be signed by at least one attorney of record or, if the party is

not represented by an attorney, all papers must be signed by the party. An attorney's ECF

5(d)(3)(c) and Fed. R. Cr. P. 49(b)(2)(A). Therefore, an attorney must protect and secure

the password issued by the court. If there is any reason to suspect the password has been

compromised in any way, it is the duty and responsibility of the attorney to immediately

notify the court. The court will immediately delete that password from the electronic

filing system and issue a new password.

3. An attorney's registration does not waive conventional service of paper filings, submit the

attorney's client(s) to the jurisdiction of the Court, or operate as a consent to accept

service of documents and orders in actions in which the attorney has not entered an

appearance. An attorney's registration constitutes a waiver in law only of conventional

service of electronically filed documents and orders. The attorney agrees to accept, on

behalf of the client, service of notice of the electronic filing by hand, facsimile or

authorized e-mail.

4. Attorneys must be active members of the bar of this Court or admitted pro hac vice to file

documents electronically.

Please return this form with original signature to the Clerk's Office of the U.S. District

Court for the Southern District of Indiana. The form may be submitted in .pdf format, via

e-mail to the following address: [email protected]. Please include "ECF

Registration" and the attorney's name in the subject line.

or a hard-copy may be mailed to:

U.S. District Court, Southern District of Indiana

Attn: ECF Registration Processing

46 East Ohio Street, Room 105

Indianapolis, IN 46204

Forms WILL NOT be accepted by facsimile unless it is an emergency, approved by the

Clerk or Chief Deputy Clerk.

______________________________________

Attorney's Signature

Appendix B

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF INDIANA

, )

Plaintiff(s), )

)

vs. ) Case No.

)

, )

Defendant(s) )

Notice of Endorsement

Please take notice that [Plaintiff/Defendant, Name of Party] electronically filed the following

document on [Date of Filing]: [Title of Document]

[Plaintiff's/Defendant's] counsel now notifies the Court that [Plaintiff/Defendant, Name of Party]

endorses the [Title of Document] filed by [Filing Party's Name] and would join in submitting said

document for the Court's review.

[Name of Filing Attorney]

Name of Filing Attorney

Law Firm Name

Address

City, State, ZIP Code

Phone: (xxx) xxx-xxxx

Fax: (xxx) xxx-xxxx

E-mail: [email protected]

Appendix C

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF INDIANA

, )

Plaintiff(s), )

)

vs. ) Case No.

)

, )

Defendant(s) )

Notice of Manual Filing

Please take notice that [Plaintiff/Defendant, Name of Party] has manually filed the

following: [Title of Document or Object]

This exhibit has not been filed electronically because [it is an object and cannot be

converted to an electronic format/the document exists only in paper form and is illegible

when scanned to PDF].

The document or object has been manually served on all parties.

[Name of Filing Attorney]

Name of Filing Attorney

Law Firm Name

Address

City, State, ZIP Code

Phone: (xxx) xxx-xxxx

Fax: (xxx) xxx-xxxx

E-mail: [email protected]

Appendix D

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF INDIANA

, )

Plaintiff(s), )

)

vs. ) Case No.

)

, )

Defendant(s) )

Declaration that Party was Unable to File in a Timely Manner

Due to Technical Difficulties

Please take notice that [Plaintiff/Defendant, Name of Party] was unable to file his/her

[Title of Document] in a timely manner due to technical difficulties. The deadline for filing

the [Title of Document] was [Filing Deadline Date]. The reason(s) that I was unable to file

the [Title of Document] in a timely manner 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.

[Statement of reasons and good faith efforts to file and to inform (including dates and

times)]

I declare under penalty of perjury that the foregoing is true and correct.

[Name of Filing Attorney]

Name of Filing Attorney

Law Firm Name

Address

City, State, ZIP Code

Phone: (xxx) xxx-xxxx

Fax: (xxx) xxx-xxxx

E-mail: [email protected]