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Iowa Court's Chapter 16 Rules Presentation

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The Iowa court rules that govern electronic filing.

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Iowa Court's Chapter 16 Rules Presentation

  1. 1. Attorney Training on Chapter 16 RulesBusiness Analysts for EDMS Consultant Judge for EDMS Brian Glass Alan Pearson Diana Swanson Jon Walker
  2. 2.  Remote access to case files Statewide access to public cases and documents Electronic filing 24/7 Electronic service of most documents Sharing of logins and passwords
  3. 3.  New cases -- initiated on or after eFiling starts Cases parties move to convert Cases converted “for efficiency of court operations” ◦ If the court orders your case converted, you will receive notice 16.102
  4. 4. State Court Administration Committee Surveyed literature Studied federal rules Consulted agencies, attorneys, & others Draft rules circulated for comment ◦ Revised rules after pilot
  5. 5.  Chapter 16 - generally process oriented Prevail over other Iowa rules where there’s a conflict Authority for these rules in Article V section 4 and Iowa Code 602.1614 Interpreting the rules ◦ Use of the General Commentary Rules 16.103 & 104
  6. 6. Registered filer Individual or entity whose login and password are used to electronically file documents. In cases where the registered filer is a party or has entered an appearance, the registered filer will electronically serve and receive notice of most filed documents. Rule 16.201
  7. 7. Nonregistered Filer An “exempt” filer who is granted an exception from registration rule Exceptions from registering are granted per case Service on exempt filers is in paper Rule 16.201
  8. 8. Filing Agent An officer, employee, or non-lawyer representative of an entity Registered entity is a partnership, association, corporation, or tribe Filing in small claims cases No change to the law Rule 16.201
  9. 9. Electronic Presentation Electronicallygive a document to the court for review or action ◦ Not filed ◦ Proposed documents are electronically presented to the judge ◦ Some are automated ◦ Notice is sent to the other parties Rule 16.201
  10. 10. Electric cover sheet Replaces the civil coversheet and confidential information form  Select case type  Enter party data  Select filing/document type  Mark document as sealed  Mark filing as an emergency  May include other information to clerk Rule 16.201
  11. 11. Electronic Service Original Notice requires personal service to confer jurisdiction Subsequent documents are electronically served by means of a notice through EDMS New rules require an appearance in order to be served Rules 16.201 & 308
  12. 12. Notice of electronic filing (NEF)A document generated by EDMS Sent electronically as ◦ An e-mail alerting you of a submission ◦ A notice posted in your account Do not reply to the NEF Rule 16.201
  13. 13. Remote accessElectronic search, view, copy, or download of documents without going to a courthouse. ◦ Levels of remote access are determined by the status of the registered filer or user. See rule 16.502. Rule 16.201
  14. 14. Manage your login and password ◦ You may share your login and password ◦ If your password has been compromised, change it ◦ If it’s lost, misappropriated, misused or compromised, contact EDMS support ◦ 877-369-8324 or support@datamaxx.com Rule 16.305
  15. 15. Keep contact information current ◦ Promptly update email address, mailing address, phone numbers ◦ Provide changes to nonregistered filers in all active cases ◦ Notify clerk of court to update court information Rule 16.305
  16. 16. Monitor your EDMS account ◦ Keep your e-mail account information current ◦ Monitor your account regularly ◦ Promptly open your notifications ◦ Download documents and notifications to your case management system Rule 16.305
  17. 17. Properly sign filings 1. Login and password of signer 2. Digitized, electronic, or nonelectronic signature 3. Signature block Rule 16.306
  18. 18. Signature blockName /s/John SmithLaw firm, if applicable* Smith LawMailing Address 31 Elm, Ames, IA 50010Telephone Number 515-555-5555E-mail Address jsmithlaw@yahoo.comAlternate e-mail ddsmithlaw@yahoo.com*or entity a filing agent is filing on behalf of Rule 16.306(4)
  19. 19. Properly sign with multiple parties ◦ Login and password of filing signer ◦ Filing signer confirms all parties agree to the document and to be signers ◦ Affix a signature and signature block for each signer per rule 16.306(4) Rule 16.306
  20. 20. Errors in your filing ◦ Electronic coversheets route your filing ◦ If you make an error Do not refile Do contact the clerk Rule 16.309(3)(b)
  21. 21. Correction of errorsClerks are responsible for the accuracy of the docketClerks may: ◦ Correct minor errors (without notice) ◦ Return your submission (with explanation) ◦ If your submission is returned:  Keep a record of the notice generated to verify the date and time of the original submission. Rule 16.309(3)
  22. 22. Jurisdictional Deadlines Timely if filed before midnight on the date due. Time of filing is noted on the NEF Don’t wait until 11:59 PM: you run the risk of not filing on time. A claim of technical difficulties will not save you. Rule 16.311
  23. 23. Non-jurisdictional Deadlines File document using soonest available means – electronic or non-electronic Filings will be considered untimely only if so determined by the court after an opportunity to be heard Rule 16.311(2)(b)
  24. 24. Attachments Main document and supporting documents ◦ Motion to Amend – Main  Amended Petition - Attachment ◦ Motion for Summary Judgment - Main  Memorandum - Attachment  Statement – AttachmentNo Attachments Separate stand alone documents ◦ Petition for Dissolution & motion for protective order ◦ Motion & proposed order Rule 16.313(1) & (2)
  25. 25. Service after case initiation ◦ EDMS serves most documents ◦ Notice of Electronic Filing (NEF) sent to parties who file Appearance or Answer or Notice of Case Association ◦ No other service is required for them Rule 16.317
  26. 26. Certificate of service NEF is a party’s certificate of service for system-served documents EDMS generates a service list in addition to the NEF Noother certificate of service is required Rule 16.318
  27. 27. Email vs. Official NotificationsEmail is a courtesyNotification in your EDMS account is your official notice◦ Parties have immediate access to most documents◦ Exceptions: system-sealed documents Rule 16.317
  28. 28. Parties will e-file their documents ◦ The system will serve registered parties electronicallyThe intervenor will e-file documents but not be allowed access until admitted to case ◦ The system will serve the intervenor’s filings on registered parties electronically Parties must serve relevant documents by paper on the intervenor Rule 16.321
  29. 29. Parties who are not registered filers are listed on the NEF and service list in EDMS ◦ They must serve them in paper. ◦ A Certificate of Service must be filed – or attached to the document– stating how you served non-registered parties ◦ Include NEF with paper documents to the nonregistered partiesNote: No Certificate of Service is required for parties served by the system Rule 16.317(1)(b) & 16.320(2)(b)
  30. 30. The litigant on whose behalf the attorney has entered a limited appearance shall continue to receive service of all documents Rule 16.322(3)
  31. 31. Limited Appearance Use this terminology to enter a limited appearance: “A limited appearance pursuant to Iowa Rule of Professional Conduct 32:1.2(c)” When your limited representation contract is complete, file a “Completion of Limited Appearance” to be removed from the case Rule 16.322
  32. 32. Discovery What must be eFiled ◦ Notice of discovery requests ◦ Notice of discovery response What is not eFiled ◦ Discovery materials ◦ Requests for discovery, responses to discovery requests, and notice of depositions (may be e- mailed, faxed, etc.) Rules 16.318 & 16.401
  33. 33. Transcripts shall be eFiled ◦ Court reporters will redact transcripts ◦ Attorneys and case parties will review redacted transcripts and stipulate to redaction accuracy or changes ◦ Transcripts will be confidential until redacted Rule 16.402
  34. 34. Legal briefs and memoranda shall be eFiled Reverses Iowa R. Civ. P. 1.442(4), which stated briefs and memoranda were not to be filed This is an instance where Chapter 16 rules govern in eFiling cases where there’s a conflict Rule 16.404
  35. 35. Exhibits shall be maintained electronically* File proposed exhibits electronically as Exhibit Submissions Proposed exhibits are ◦ File stamped and numbered ◦ Confidential until admitted Rule 16.412
  36. 36. ExhibitsSubmitting party must redact protected information ◦ Inform court of protected information ◦ Redact the exhibit within 14 daysExceptions SMALL CLAIMS, SIMPLES, and TRAFFIC are exceptions – exhibits may be in paper Rule 16.412
  37. 37. Original Documents Where the law requires the filing of an original document ◦ Scan the original and file the scanned version ◦ Filer must retain the original for no less than 2 years or until conclusion of the case or appeal or the conclusion of the estate – whichever is later ◦ Filer must immediately deliver original to court upon request of court or other party Rule 16.411
  38. 38. Items NOT filed electronically Administrative Record Transcripts not available electronically Except when: ◦ The administrative record is already an electronic record ◦ The record is submitted electronically by agreement of the parties. ◦ The court or clerk requires or authorizes otherwise. Rule 16.315
  39. 39. Service of notice of items filed nonelectronically“Parties who file paper documents or other items pursuant to rule 16.315(1) must electronically file a notice of the filing of the item.” Rule 16.315(2)
  40. 40. Original Notices must ◦ State that the case was filed in an eFiling county ◦ Direct the party to the Chapter 16 Rules ◦ Refer the party to Division VI of Chapter 16 on protecting personal information Small Claims Petition and Original Notice is exempt from this rule. MUST BE SERVED AS IT WAS - IN PAPER Rule 16.316(1)
  41. 41. Access to court files – registered filers Attorneys, self-represented litigants, and parties to an action get access Remote access to docket and documents, depending on security Iowa Attorneys get remote access to all public cases and the public documents in them (except juvenile delinquency cases) Rule 16.502(1)(c)
  42. 42. Access to court files – general public Access to non-confidential documents in non-confidential cases at the courthouse. Access to cases on appeal at the county courthouse or from the Judicial Branch Building in Des Moines. Rule 16.502(4)
  43. 43. System-sealed documents Do not require a motion to seal Examples ◦ Presentence Investigation Reports ◦ Minutes of Testimony ◦ Drug tests and alcohol assessments ◦ Predisposition Reports ◦ Juvenile Social Investigation Reports A list of system-sealed documents and confidential case types is posted on the eFile web site Rule 16.405(3)
  44. 44. Sealed documents Documents proposed to be sealed ◦ File motion to seal, proposed order to seal, and document proposed to be sealed ◦ If the order covers subsequent documents, you check the “Filed Under Order to Seal” check box Rule 16.405
  45. 45. Dissolution Cases – Beware Prior to entry of decree, dissolutions are confidential Post-decree, cases are public If documents contain personal information,  redact the information or  protect your client by sealing the document
  46. 46. “It is the responsibility of the filer to ensure, according to the rules of this division, that protected information . . . is omitted or redacted from documents before the documents are filed. . .” Rule 16.601(1)
  47. 47. INCLUDES THE FOLLOWING:  Social Security Numbers  Financial account numbers  Dates of birth  Names of minor children  Individual taxpayer ID numbers  Personal ID numbers  Other unique identifying numbers Rule 16.604 lists information that may be redacted without a court order. Rule 16.602
  48. 48.  Omit protected information that is not material to the case or required by law. If required or material, redact it from the public documents. Provide the information to the court on a Protected Information Form, described in rule 16.606. Rule 16.603
  49. 49. How to redact required information  Use last 4 digits of SSN  Use incomplete financial account numbers  Use minor child’s initials onlyNo redaction is necessary when  Documents are system sealed  Cases are and will remain confidential Rule 16.603(1) & 16.605
  50. 50. Filers may move to redact the information request an immediate order to seal a document pending redactionCourt may on its own motion or motion of a party impose sanctions  Penalty paid into the court  Reasonable attorney fees  Other expenses Rules 16.601(4) & 16.609
  51. 51.  ONLY when protected information is an essential or required component of the document. ◦ Example: A writ of execution may require a full financial account number. Rule 16.603(4)
  52. 52. Initiating documents  Electronically presented when possible Warrants and emergency applications Electronically presented when possible After business hours, presented in paper unless a computer tablet or other technology would allow the court to modify and sign the document. 16.703 & 802
  53. 53. Documents requiring oaths, affirmations, or verifications (a) signed non-electronically and scanned, or (b) signed by an electronic process which accurately reproduces or forms a durable medium for accurately and legibly reproducing an unaltered image of the required signature. Rule 16.702 & 804
  54. 54. Defendant’s signature or signatures of parents, guardians, children, etc. within the juvenile court’s jurisdiction Sign with pen on paper and scan the document, or Electronically sign using a computer tablet or similar technology, or Defendant who is a registered filer may sign by using his login and password to file the document Rule 16.705 & 803
  55. 55. Plea agreements or the equivalent: ◦ Written plea agreements may be electronically presented to the court but need not be filed prior to a plea proceeding ◦ If plea is accepted, the electronically presented document shall be filed. Rule 16.707 and 16.805
  56. 56. New guidelines:Handling Electronic Payment of Court FeesOn the Judicial Branch website under Professional Regulation ◦ Click Attorney Regulation/Commissions  Then click Client Security
  57. 57. Activity ID: THANK YOU!