Iowa Court's Chapter 16 Rules Presentation

Editor's Notes

• #2: No substitute for reading the rules, this overview will alert you to some of the major changes that will affect you when you begin to file electronically.
• #4: eFiling in 15 countiesTraining in 5 more, including Polk, for rollouts in January & Feb All NEW cases will be electronicThe rest stay in paper except those cases that are converted per a judge’s orderPer party’s motionFor the convenience of the court
• #5: RULES BACKGROUND – over a 12 year periodSCA committee looked at pros and cons of electronic filingConsulted with government agencies (Corrections, DHS), JCS, court reporters, private attorneys, clerks & othersRules draft ordered in effect for PilotRules updated after 1st pilot countyWill be updated at end of pilot period. Still tweaking and clarifying rules until then
• #6: RELATIONSHIP TO OTHER RULESGenerally not meant to substantively change rules from regular law of civil procedure & evidenceGenerally are about process – how to get information to the court & how to get it back, how to electronically sign a document, etc.IMPORTANT TO READ THESE RULES because they trump other rules where they conflict in electronic casesThe Iowa Constitution and code section 602.1614 gives these rules authority over electronic filing processes (e-signatures, presentation of documents, “Acceptance, distribution, and retention of electronic records,” processes for submitting, retrieving, and securing files)INTERPRETING THE RULESGeneral Commentary gives examples and more explanationContact clerks of court or BAs to have rules questions forwarded to BAC
• #7: New terms for new concepts with EDMSThis is a big change – filers must register to user the courts.A registered filer is someone who has gotten a login and password and can use EDMS.As attorneys, you can register now and get immediate access public cases in EDMs countiesA registered filer gets electronic service on cases they’re a party to (means initiating the case or filing an answer or appearance)
• #8: There are some people who legitimately can’t eFile. They apply to the court for an exception to the rules mandating registration.Once granted, they can file in paper and be served in paper.EXCEPTIONS:We talked about the exemption from registration (you attorneys can’t get. . .)As an attorney, you personally may not be able to eFile, but someone in your firm or on your staff can; you share your login and password with that employee and they can eFile for you For good cause, a one-time exemption may be granted by a judge or the clerkExamples, you can ask the clerk to make a one time exception for theseIf you’re running to the courthouse and you have a jurisdictional deadline and you haven’t registered yetIf your computer is down temporarily and you have that deadlineIf the electricity went out in your part of townBECAUSE parties are served electronically, failure to register means that a party might not get served an important notice or order. This is the filer’s responsibility, not the court’s. To emphasize this, an addition to rule 16.320(2)(b) says a filer who refuses to register or obtain an exemption will not be served paper copies by mail.
• #9: New role – in Small Claims casesUnder existing rules of civil procedure, a person who is not an attorney can represent certain entities in small claims and a few civil case types. We’ve created this filer registration type to replicate that situationFiling agents are put in a special relationship with the entity they represent, similar to an attorney.The entity is self-represented, and the agent files on its behalf. This has been a difficult concept for self-represented filers to understand.
• #10: A new term for a current practiceYou go to the courthouse (for order hour) and sit down with the judge, and hand over a motion or proposed order you want the judge to signElectronically presented documents are not given to the clerk or file stampedWe have automated electronic presentation for proposed documents Trial Information'sDocuments to be reviewed in cameraNOT to be used to blindside your opponent. If you’re thinking “I just want the judge to see this but I don’t want it to be put into the file.” that’s not the intent of the processNOTE: If you take a paper order to a judge to sign, that order must be scanned and filed by the Clerk of Court. If you, as an attorney, try to electronically fie that order, your submission will be returned. Rules on signatures and 16.309(2) and (3) – on the clerks’ responsibility for the docket – authorize that rejection.
• #11: ELECTRONIC COVERSHEETS are not a document you fill out -- that old paper coversheet & confidential information form are goneThe new Electronic Coversheet is A step-by-step process the system takes you through filingYou enter case, party and submission informationThe rules require you to fill out this information. If you don’t add party information, the clerk is authorized to return your filing
• #12: ELECTRONIC SERVICE IS ONE OF THE BIGGEST BENEFITS OF THE SYSTEMService of Original notice hasn’t changedDocuments that require personal service to confer jurisdiction as a matter of law may not be served electronicallySubsequent documents are served on parties who are registered filersNo other service is required on registered filers NOTE: WE’LL TALK IN DETAIL ABOUT SERVICE LATER IN THE PRESENTATION
• #13: “NEF” is generated when a document is filed or presented E-mailed to registered parties – THE E-MAIL IS A COURTESYTHE TRAINERS will demonstrate where you’ll find your Notifications. Official notice is posted in you account parties may then sign in and view most documents even before the clerk has reviewed and filed them NEF is not sent on secure documents – warrants, emergency removals, etc.Do not reply to the NEF. Instead, contact the Support number listed in EDMS (available 24/7)
• #14: YOU, AS AN ATTORNEY, DON’T HAVE TO BE AT THE COURTHOUSE TO SEARCH, VIEW, AND DOWNLOAD DOCUMENTSAs an attorney, this is a huge benefit, and you get the following special accessstatewide remote accessIf you know of another public case out there that matches yours, you can search for it if you know the case number and one of the partiesYou can then look at the documents without having to come ask the clerk for the case file
• #15: YOUR LOGIN IS YOUR SIGNATURE ON ELECTRONIC PETITIONS AND PLEADINGSAs attorneys you may share your login and password with authorized staffSelf-represented litigants – non-attorneys – cannot share loginsThat said, the rules concerning unauthorized practice of law and attorney’s responsibility for documents submitted under their signature are unchanged. Anything filed or downloaded with your login is considered filed or downloaded by youIf it’s compromised – your key support staff has moved out of state, for example -- change your passwordIf it’s completely compromised so that you can’t log in to change your password, you need to call EDMS support [16.305(2)(d)]
• #16: CHAPTER 16 RULES REQUIRE YOU KEEP YOUR REGISTRATION INFORMATION CURRENTIf there’s an exempt filer on your case, you have to also inform that filer if your contact information changesHINT Your can set up 3 e-mail accounts with your registration to help with monitoring notifications
• #17: You’re responsible for monitoring your EDMS account. Be aware that you should NOT rely on EDMS as a permanent file storage system. While EDMS is a reliable and convenient way to access court files, EDMS is not a replacement for your own content management system. Documents and cases may be sealed or expunged, for example, and therefore no longer available to you through EDMS. Likewise, notifications are not permanently stored in the system. You should download documents and notifications promptly and store them in your own system.
• #18: NEW RULES ABOUT SIGNATURES ARE AN IMPORTANT CHANGEYOUR LOGIN IS YOUR SIGNATURE ON ELECTRONIC PETITIONS AND PLEADINGSUsername and password are your signatureAnything filed with your login is considered filed by youAttorneys can file on cases they’re not indexed to. But the problems we see are attorneys filing with their log in something signed by another attorney. If you have a colleague file your document, he/she must either be the signer or use your log in.
• #19: See signature examples handoutSignature block is the same information you put on your documents todayWe’ll repeat ourselves on the signature rules – they’re the most commonly ignored and violated rule in Chapter 16
• #20: MULTIPLE ATTORNEYS or FILERS ON ONE DOCUMENT AS THE REGISTERED FILER, YOUR LOGIN AND PASSWORD ARE YOUR SIGNATURE on the documentYour confirmation that all the other persons named have reviewed and adopted the documentOther methods: everyone can come in and physically sign the document and then you can scan itPENDING RULES CHANGE: The signatures on documents submitted by government agencies will valid even if all parties listed are not registered filers.
• #21: Rules under 16.309 says-- Filer is required to choose the docket type. If you chose the wrong docket type, put in the wrong parties or uploaded the wrong document, for example. DON’T REFILENOTIFY THE CLERK’S STAFF AND FIND OUT HOW TO CORRECT THE ERRORClerk’s staff can sometimes change minor errors, like the wrong document type
• #22: Rules under 16.309 says-- Clerks are responsible for the docket and ensuring that docket entries are accurate. One of the changes with EDMS – and this is a change to the court culture -- is that clerks have new responsibilities in the electronic world: they sometimes must return filings. The General Commentary gives examples of the limited circumstances where the clerk must return a filing. Examples were documents that were scanned upside down or sideways. Other examples, Documents scanned so that the file stamps couldn’t be attachedTwo documents were combined into one so that they couldn’t be processed correctly (petition and original notice as one .pdf), or A document submitted under the wrong document type that therefore didn’t charge the correct filing feeKeep the notice the system sends to you (which will have the explanation of the problem) in case there’s an issue with the timing on the returned filing
• #23: JURISDICTIONAL DEADLINES ARE THE SAME -- ELECTRONIC OR PAPER – IT DOESN’T MATTERSystem will allow filing 24/7. A filing is timely if filed before midnight on the day it’s due. FILE STAMPS ARE APPLIED WHEN A DOCUMENT HITS OUR SERVER, no matter when the document actually gets approved (exception if Trial Informations). However, the system may be down sometimesFor routine maintenance, a notice will be put up on the login page telling you of the planned maintenanceOR, your filing could be returned – returned filings are rare, but do happen under the rules.Rule 16.311 reminds you that things can happen, so beware & don’t wait until the last minute if you can help it.The rules group equated this to being held up by a train or flat tire that causes you to reach the courthouse 5 minutes after the clerk’s office closes. You’ve missed your deadline. Fax or e-mail doesn’t constitute filing Per the definition of “electronic filing” and Rule 16.307(2) doesn’t transmit the document to EDMS doesn’t generate a Notice of Electronic FilingSo you won’t meet your jurisdictional deadline by e-mailing or faxing the document.
• #24: Non-jurisdictional Deadlines are a little more flexibleIf your computer system is down, lets say. File at the soonest possible time – either electronically or in paperYour filing will not be considered untimely unless there’s been a hearing and basically a fight about whether this was reasonable obviously be reasonable -- don’t wait a week or two to resolve your problem
• #25: These were sometimes called “Exhibits” in the paper world. In EDMS they’re filed as “Attachments.”What’s an attachment and what’s a separate document?This has been a hard concept for someCommentary on the Rules gives examples to clarifyIn each submission, you can include several documents (up to 20 MB)Each document can have attachments filed with it – listed on the docket but under the lead documentExhibits can be filed separately (each with a docket entry). We’ll talk about the exhibit process later in the presentation(We’ll talk more about sealing documents later.)
• #26: Once past the original notice, the system will serve most your documents on registered filers.If there’s an exempt party on your case, the NEF will tell you that person was not served, and you must serve that person through normal means by mailsIntervenors will need to be served on documents that pertain to their interventionRule Change to make clear: As attorneys, you must file an appearance or answer in order to be indexed on the case and linked to the party you represent. WE FOUND THAT EDMS changed the common practice of the clerk knowing which attorneys to index. Pro Se filers file something like an appearance, called a Notice of Case AssociationNOTE: THE SYSTEM DOES NOT SEND NOTIFICATIONS FOR FILINGS IN THE PAST If you file an appearance on a case that’s ongoing, it’s your responsibility, as it was in the paper world, to access the case and look at what’s been filed on it, look at what’s scheduled (like hearings); the clerk will not notify you of upcoming events on the case. Clerks are inclined to do “courtesy” notifications to attorneys named in court orders, but that is a COURTESY, and you shouldn’t rely on the clerk to notify you of what’s happened on a case you’ve joined.
• #27: We may have to clarify the rules on this, we’ve had some confusion that The Notice of Electronic Filing and Presentation (NEF) IS YOUR CERTIFICATE OF SERVICE FOR THOSE SERVED ELECTRONICALLY)
• #28: e-mail has its problemsSpam filters can be a problemService can be down and our system won’t know thatConsider your e-mail notice as a courtesy noticeThe Notification posted in the parties’ EDMS accounts is the official, and dependable, notification. It goes to all parties, except those who have exemptions. When they get this notice, all parties can log in and see that document right away unless it’s a document with raised security. Because of security, you may receive an NEF for a document you’re not allowed to see. This is normal. PSI is one example that only attorneys can see, though everyone on the case gets the NEF.ANOTHER NEW RULE: If you are off a case and want to stop getting notifications, you must file a withdrawal.
• #29: Service on confidential cases is also through the EDMS system for case parties, just as it is on non-confidential cases. Attorneys filing appearances will not see case information or get notifications until they are indexed on the case. Intervenors are covered by a separate rule. They can eFile, but do not get case access. Not all intervenors want to become parties to a case. For those who do not want to become parties, as well as for other until their application to intervene is granted, they must be served in paper any document related to their intervention.
• #30: If there are exempt filers and intervenors, you must serve them in paper. This doesn’t include represented parties.The NEF lists exempt and non-registered filers. ( So does the service list in your EDMS My Cases view.)For those served in paper, you can file a separate Certificate of Service, or include that on the bottom of your filing [16.318]. An exempt pro se filer must serve other exempt parties in paper. The system will notify you of the filing as soon as the clerk scans and files that documentAdditional time to serve: Under 16. 319 (similar to Rule of Civil Procedure 1.443(2)), if you’re served a document by mail you get 3 additional days to respond. EDMS won’t change that. Electronic filers get those 3 extra days, too.
• #31: There’s a specific rule about service on litigants represented by an attorney on a limited appearance. (NEXT SLIDE ON how you file a limited appearance, and withdraw from one.)
• #32: Under the Rules of Professional Conduct, an attorney can be hired for a limited appearance.Example: To deal with a temporary custody hearing in a dissolution caseUse the terminology to file your appearanceYou’ll get access to the case File a “Completion. . “ to be removed when your contracted work is doneAlso note that 16.322(3) also states that the litigant continues to receive service of all documents during the time of the limited appearance.
• #33: BE AWARE OF THESE EXCEPTIONS & NEW PROCESSESDISCOVERY MATERIALS are not eFiled – just the same as nowYour Registration is your agreement to served and be served discovery requests by e-mailYou send the request for discovery by e-mailAlso, file in EDMS a Notice that you’ve made the requests (certificate of service of discovery materials) This is a safeguard in case the e-mail request or response gets lost
• #34: Not talking about Court Reporter Notes, but a transcript, such as one for an appealWe’re piloting a redaction process:Court reporter prepares the verbatim transcript and a redacted copyAttorneys on the case are notified that the transcript is available for review (21 calendar days deadline)If an attorney wants additional redactions, he/she may request those by stipulation signed by attorneys for both sidesIf disagreements about redactions, the court decides. After that, or after 21 days if no changes or objections are raised, the redacted version of the transcript becomes public
• #35: This next rule was positivelyreceived by attorneys during the public comment period. This allows for filing briefs and helps with proving error preservation during appeals.This is a circumstance where the Chapter 16 Rules govern over others that conflict with this chapter, per rule 16.103.
• #36: * This rule is under review, but for now it reads that exhibits will be “maintained” electronically – not electronically filed. The process is not intended to change your exhibit practice except that you can submit your exhibits before trial or hearing; the system will number exhibit submissions sequentially. You are still allowed to submit exhibits during a trial or hearing, In a civil case, you may know exactly what’s going to be submitted and it’s already been subject to discovery numerous times, and you can have it converted and filed before the trialIn criminal cases, as a defense attorney, you may not be sure what you’re filing or you may not want the other side to see what you’re going to presentIn other instances, the courtroom or jury room may not be set up or large enough for the jury to review these exhibits in electronic form, so as you’re preparing for trial, you may need to talk to the judge about how that should be done If you have questions about the local practice for exhibits, talk to the clerk or a judge before your hearing date.
• #37: Protecting private information:Prior to offering the exhibit, the submitting party shall redact the exhibits pursuant to Division VI (protection of personal privacy). The exhibit becomes a sequentially numbered “exhibit submissions” It’s available to case parties that are self represented and to attorneys.If the exhibit is admitted, it will retain its original sequence number. You will be expected to enter your own descriptions or numbers in the Comments field that’s provided. Exhibits in Juvenile cases will remain confidential. In Small Claims , Simple Misdemeanors, and Traffic and Municipal Infraction cases, exhibits are not required to be electronically filed, though they can be. If they are submitted electronically, they must be redacted.
• #38: WILLS, BIRTH CERTIFICATES, MORTGAGE DOCUMENT, FOREIGN JUDGMENTS, & OTHER CERTIFIED OR VERIFIED DOCUMENTSYour insurance provider or malpractice provider may require you to keep the document for longer, but the Rules only require thisIf the document is questioned, you must bring in the original to the courtNote: Wills in Safekeeping, the court still accepts those in paper. If filed electronically, filer must comply with rule 16.411 for retention Other documents that are required in paper include the original note (required before the judgment will be issued) and a surety bond.
• #39: Administrative records in Work Comp cases can be huge and the rules don’t require those to be converted to electronic format. Some administrative records in child support cases, for example are limited in size to 1 or 2 documents and these are to be eFiledTranscripts – like in post conviction relief cases – aren’t required to be convertedParties may agree it would be more convenient to get those records scanned in and OCRed so you can do word searches on the document – if so, they can request those can be converted to electronicAnd then there’s always the physical evidence like the gun or car fender etc., that can’t be scanned
• #40: If you are filing a paper administrative record or a piece of physical evidence which can’t be made electronic, the person filing it or getting it into the system must electronically file a notice of that filing, so that parties know that item is part of the case file.As the filer, this eases the burden of notifying the other parties on the case of the filing, because by filing this one document, notice goes out to everyone connected to the case
• #41: Add this information to your Civil Original Notice formsSmall Claims Petition/Original Notice forms are not required to state this information because a court generated signature page is attached to them that contains this info.In the demo, we’ll show you where your signed and sealed Original Notices can be downloaded for service. When the Original Notice is served, the return of service must be scanned and electronically filed; the original notice need not be attached to the return.
• #42: If you’re a party to an action or self-represented, you’ll be able to register and get remote access to your case and the documents in it. Self-represented filers get access to more documents than represented filers.When do attorneys advise their clients that they can register?This can be a good thing, because there may be fewer questions from your client about their case because they’ll be able to see what’s filed.That’s your call, exercise your judgment and let them know it’s availableIf they start filing or writing letters to the judge – that happens now and it’s something you have to consider if your client is that type of client
• #43: Just as they do now, the public must go to the courthouse to see public cases & documents. But instead of going to the counter, the public will go to the public access terminal at the courthouse and find public cases within their county by case number and the name of a party. Note that someone in Polk County can’t go to the Polk courthouse to view Story County cases. Cases are still accessed within the county of origin, or additionally, if on appeal, from the court of appeals in the Judicial Branch Bldg.They can do this without registeringThey can view and download public documents on public cases
• #44: Note that they have a handout.A list of these documents is posted on the Judicial Branch website. It might be updated occasionally, so check it if you have questions.The list of confidential case types is also included in that document. Parties are not required to redact protected information from documents that are filed in cases that will remain confidential.
• #45: Do not attach the document you want to seal to the motion to seal or they will become public.File your motion to seal Electronically present your document you want sealed using the separate “Proposed Document to Be Sealed” document type to preserve the confidentiality of your document. When filing subsequently, click the “Filed under Order to Seal” check box and add the date of the order to sealIn motions to seal, be specific about what you want to keep confidential and from whom. Some trade secrets, for example, may be sealed from everyone but the court. Other material may be sealed from the public, but available to case parties. Some things are so secure that the public will not even see a docket entry for them. Rule 16.405(4) explains this further.
• #46: FAMILY LAW IS AN AREA THAT GENERATED LOTS OF CONCERN FOR STORING ELECTRONIC INFORMATION IN THESE CASESCases are confidential until the final decree.So while the case is ongoing, filed documents aren’t public. But since they will become public record, parties must remember how important redacting protected information is and to ask to seal documents on these cases. (More on protected information later.)
• #47: IT’S MORE IMPORTANT NOW – EDMS reduces practical obscurity. A whole division of the rules, Division VI, defines new requirements and processesIT IS THE RESPONSIBILITY OF THE FILER – NOT THE CLERKOMIT IT OR REDACTED IT
• #48: Division VI is very important to read and know. When filing was in paper only, you filed something in one of ten thousand cases in that county and it eventually made its way to a storage facility or to the basement. And if your neighbor wanted to see that case file, he’d have to show his face at the clerk’s office and ask to see your case file, and the clerk had to dig it out. So there was some “practical obscurity” Being electronic, it’s much easier to disseminate this information, and even to disseminate it around the world in minutes.So it’s much more important to pay attention ot redaction rules and to protect sensitive personal information.What is protected informationThis is the exact same list the Federal courts used; a list they came up with after years of debate, public hearings, and discussion on the topic. We spent quite a bit of time on whether we wanted to include all those, and in the end, we decided to go with the exact same list the Federal courts use.
• #49: THE BEST WAY TO PROTECT PERSONAL INFORMATION IS TO NOT INCLUDE IT AT ALL IF YOU DON’T NEED TOMost judges say they don’t need a lot of the full information – the full financial account number, for example. If you have a case where you decide the judge does need that full number, you can file the protected information form. The Protected Information form is online, available on the eFile web page. It automatically files as confidential, meaning only the court and case parties can see it. You put the full information and the partial information you’re using on the form: Example, you give your client’s full SSN, and then the last for digits, but you only include the last 4 digits when you refer to that SSN in any documents you file.
• #50: If it’s required and it’s on a document that’s public or will be public, the rules specify how you’ll redact some protected information:Example Date of Birth is replaced by year only. * On the protected information form, you list the full date and then the year; in your documents, you use only the year.ExampleChild’s Nameis replaced by child’s initialOn the protected info form, you list the full name and then the initial that stand for it; in your documents, you use only the initials*Leniency on Birth date redaction for now because of EPA
• #51: What happens if you accidently file protected information?move to redact the protected information in your own filings or in someone else’smove to have a document with protected information immediately sealed and then redacted. There could be a hearing to determine whether the document should be sealed or redacted. If you discover you’ve filed protected information in a document and it’s after court hours, you won’t be able to immediately seal the document, but there’s still some protection there because only other parties on the case can see it at that point; it won’t be available to the public yet.If done repeatedly or maliciously, the court may sanction the offending party.
• #52: CHANGES HAVE BEEN MADE TO THIS RULEYou can disclose protected information only when it’s an essential and required component of the document.The Rules Committee has clarified with additional examples will be added to the rules, including Child’s full name on Transportation Orders or Placement OrdersFull names on Protective OrdersChild’s full name on Letters of Appointment in a Guardianship of a minorFull name, date of birth, and SSN on application and order for and resulting arrest warrant. FULL IDENTIFYING INFO NEEDED ON A ORDER OR COURT-GENERATED DOCUMENT THAT REQUIRES ENFORCEMENT OR ACTION BY SOMEONE OUTSIDE THE COURT.
• #53: Special issues in criminal cases: initiating TI s and Complaints will be electronically filed (exception might be on weekends for defendants in custody, but this varies locally).Criminal and Juvenile Warrants and Emergency Applications:If you have a warrant or similar applications, if possible, it should be done electronically. If the officer goes to the judge’s house to have it signed and the officer happens to have a notepad or other device to allow the judge to modify the warrant and then sign it, then that’s acceptable.Otherwise, the judge signs the paper warrant and it’s later scanned in.
• #54: This is a very sensitive issue and the method of signing and verifying complaints has been an issue before the court on a number of occasions.EDMS does not change the code that requries an officer’s signature to be made under oath and verified. There are two signatures on a Uniform Complaint and Citation Form. The arresting officer’sThe notarizing officer’s16.704(2) governs the first:That rule says that the complaint form be transmitted to EDMS in such a way as to “legibly reproduce an unaltered image of therequired signature or display a realistic visual image of the signature.” That image can be transmitted from a signature pad or it can be an attached “digitized” (picture) of a signature.16.702 governs the second, the verifying signature or affidavit, and the wording for it is here on the slide, which comes directly from the code.
• #55: Sometimes you see your client only at the courthouse. If you have even 10 minutes before a hearing, you may need to have them sign it pen on paper and have it scanned at the conclusion of the hearing or at some point when that’s submitted to the courtDefendant may also electronically sign by a computer tablet or some technology that captures that signatureIf a defendant is a registered filer, he/she may sign in and file the document with an electronic signature, so long as it isn’t a document that requires an oath, etc.
• #56: There are times when the judge is going to want to look at that during the plea hearingYou may not want that to be filed if the plea “goes south”Or you may want it to be filedThe rules actually says that written plea agreements “may” – not “shall” – be electronically presented to the court but you don’t need to file them prior to the plea proceeding -- you can choose to file them after – it just depends on the nature of your case
• #57: Note: you have a handout on this.The Office of Professional Regulation has written guidelines for handling electronic payments of court fees. Please pick up the handout or go online to download and read the guidelines.
• #58: THIS IS THE ACTIVITY ID FOR YOUR CLE FOR TODAY’S TRAINING