Preview
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RUBY J. KRAJICK UNITED STATES DISTRICT COURT www.nysd.uscourts.gov
CLERK OF COURT SOUTHERN DISTRICT OF NEW YORK
500 PEARL STREET, NEW YORK, NY 10007
300 QUARROPAS STREET, WHITE PLAINS, NY 10601
Electronic Case Filing
Rules & Instructions
April 24, 2023, Edition
Includes Temporary Provision Regarding
Pro Se Filing by Email - See Addendum
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Section Table of Contents Page
Introduction........................................................................................................................ 3
What’s New…………………………………………………………………………………………………………………. 4
1. Scope of Electronic Case Filing…………………………….…………………………………..………… 5
2. Eligibility and Registration……………………….………………….…………….....……………………. 6
3. Consequences of Electronic Filing…………………………………….………………………………… 7
4. Entry of Court Orders…………………………………………………………….…………………………… 7
5. Attachments and Exhibits…………………………………………………………….…………………….. 8
6. Sealed Filing………………………………………………...………………………………….….…………….. 8
7. Retention Requirements……………………………………………………………………….….……….. 13
8. Signatures………………………………………………………………………………………….………………. 13
9. Service of Documents by Electronic Means……………………………………………………….. 14
10. Notice of Court Orders and Judgments………………………………………………………………. 14
11. Technical Failures………………………………………………………………………………………………. 14
12. Public Access……………………………………………………………………………………………………… 15
13. ECF Basics…………………………………………………………………………………………………………… 16
14. Opening a Civil Action…………………………………………………………………………………………. 23
15. Amended Pleadings and Motions……………………………………………………………………….. 26
16. Judgments………………………………………………………………………………………………………….. 27
17. Appeals………………………………………………………………………………………………………………. 28
18. Non-Electronic Documents…………………………………………………………………………………. 29
19. Service of Electronically Filed Documents…………………………………………………………… 29
20. Attorney Appearances………………………………………………………………………………………… 31
21. Privacy and Public Access to ECF Cases……………………………………………………………….. 33
22. Electronic (ECF) Filing Privileges………………………………………………………………………….. 34
23. ECF Computer System Information…………………………………………………………………….. 35
24. ECF Help Desk and Training………………………………………………………………………………… 36
Appendix……………………………………………………………………………………………………………………… 37
Addendum…………………………………………………………………………………………………………………… 39
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Introduction
The United States District Court for the Southern District of New York implemented a Case
Management/ Electronic Case Filing (ECF) system in December 2003. Electronic versions of
documents have largely replaced paper documents in the Court’s files. All new civil and criminal cases
filed in this Court after December 2, 2003 are ECF cases.
Pro se litigants must file pleadings and documents in the traditional manner on paper unless the
assigned judge has granted permission to electronically file on the ECF system. The information in
this document applies only to cases assigned to the ECF system.
Please reference any addenda to these Rules & Instructions for interim updates.
The following should be observed when filing electronically:
• The Federal Rules of Civil and Criminal Procedure,
• The Court’s Local Rules,
• The assigned judge’s Individual Practices, and
• The Court’s Electronic Case Filing Rules & Instructions.
The Court is prepared to assist you in filing electronically in the following manner:
• The SDNY Electronic Case Filing Rules & Instructions are your guide to electronic filing.
• Training in Electronic Case Filing (ECF) is available both in person at the courthouse and
on-line at https://www.nysd.uscourts.gov/electronic-case-filing (See also section 24 -
ECF Help Desk and Training).
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What’s New
April 24, 2023, Edition
Criminal Subpoenas
ECF Rule 13.28 has been revised to note the option for an attorney to request both a testimonial and a
document subpoena in a criminal case through the ECF system, without a personal appearance.
13.28 How can I obtain an AO 89 criminal subpoena form signed and sealed by the Clerk of Court?
An attorney may submit a request for an AO 89 form, Subpoena to Testify at a Hearing or Trial in a Criminal
Case, a criminal subpoena through the court’s ECF system. In response to the request, the system will
automatically generate a signed AO 89 form subpoena. The subpoena will include the court seal
superimposed over the signature of the Clerk of Court but will otherwise be blank in accordance with
Federal Rule of Criminal Procedure 17(a).
Step 1: Connect to the court’s ECF system using your log-in and password;
Step 2: Click on the Criminal tab / Criminal Subpoena Forms / Signed Subpoena Forms;
Step 3: Download a blank subpoena form in fillable PDF format;
Step 4: Fill in the blanks and print.
Blank subpoena forms may be requested only when required for use in a pending case. Blank subpoena
forms shall not be saved for use in future cases. A request for a subpoena(s) must be submitted for each
new case. All forms are subject to change, and a new request will generate the most current version of the
subpoena form. The request does not require a case number to be entered in ECF and no evidence of the
request will appear on the public docket.
An attorney may continue to obtain a signed paper criminal subpoena form at the Finance intake window
in the Clerk’s Office. Pro se litigants must submit any request for a subpoena to the Clerk’s Office in paper
form.
Opening a Civil Action
ECF Rule 14.4 is added to provide guidance regarding selection of the proper courthouse when filing a new
civil action.
14.4 How do I select the proper courthouse when filing a new civil case?
The Southern District of New York maintains courthouses in both Manhattan and White
Plains. When selecting a courthouse for assignment of a new civil action, counsel are required
to expressly certify that their choice complies with the court’s Rules for the Division of Business
Among District Judges.
Civil cases, other than cases removed from state court and bankruptcy appeals, are assigned in
accordance with Rule 18. Cases removed from a state court and bankruptcy appeals are
assigned in accordance with Rule 20.
Counsel are advised to consider these rules and the facts of their case to avoid making an
incorrect or unsupported certification to the court.
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Part I. Electronic Case Filing Rules
The Court will accept for filing documents submitted, signed, or verified by electronic means that comply
with the following rules.
Section 1. Scope of Electronic Filing
1.1 Except as expressly provided and in exceptional circumstances preventing a party from filing
electronically, all documents required to be filed with the Court must be filed electronically. Any party
unable to comply with this requirement must seek permission of the Court to file in the traditional manner,
on paper. Any such application made after regular business hours may be submitted through the night
depository box maintained pursuant to Local Civil Rule 1.2.
Unless otherwise ordered by the Court, documents filed by pro se litigants must be filed in the traditional
manner, on paper, and will be scanned and docketed by the Clerk’s Office into the ECF system.
(IMPORTANT NOTE - due to the coronavirus/COVID-19 pandemic, in addition to accepting pro se filings in
paper form, the court has announced the temporary acceptance of filings via email from pro se parties
without electronic filing privileges. See the April 1, 2020, Addendum to these Rules for further instructions.)
1.2 In civil and miscellaneous cases the filing of the initial papers, including complaints, notices,
petitions, etc., the payment of any applicable fees and the request for and issuance of summonses will be
accomplished electronically. (See section 14 - Opening a Civil Action).
1.3 Unless limited by their terms to civil cases, the provisions of these procedures relating to electronic
filing apply in miscellaneous and criminal cases. Electronic filing procedures shall not apply to applications
for arrest, search or electronic surveillance warrants; for other orders in aid of or ancillary to a criminal
investigation; or to proceedings relating to the grand jury.
1.4 In a criminal case the indictment or information, including any superseders, shall be filed and given
to the defendant in the traditional manner on paper in accordance with the Federal Rules of Criminal
Procedure and applicable Local Rules rather than electronically; in addition, service of subpoenas shall be
made in the traditional manner on paper in accordance with the Federal Rules of Criminal Procedure and
applicable Local Rules. After a criminal case has been opened, counseled parties must promptly provide
the Clerk of Court with electronic copies in PDF-A format of all documents previously provided in paper
form. All subsequent documents must be electronically filed except as provided in these Rules &
Instructions or as ordered by the Court.
1.5 The Clerk of Court shall write and revise as necessary Instructions to guide Filing Users and
maximize the efficiency of the Electronic Case Filing system. (See Part II - Electronic Case Filing
Instructions).
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Section 2. Eligibility and Registration
2.1 Attorneys admitted to the bar of this Court, including those admitted pro hac vice and attorneys
authorized to represent the United States, are required to register as Filing Users of the Court’s ECF system.
Unless excused by the Court, attorneys not already Filing Users appearing in cases must register as Filing
Users. Registration is accomplished through the Public Access to Court Electronic Records (PACER)
system. Registration is in a form prescribed by the Clerk and requires the Filing User’s name, address,
telephone number, Internet e-mail address and a declaration that the attorney is admitted to the bar of
this Court or authorized to represent the United States or admitted pro hac vice. See the ECF page at
https://www.nysd.uscourts.gov/attorney-registration for details.
2.2 (a) The Court may permit or require a pro se party to a pending civil action to register as a Filing
User in the ECF system solely for purposes of that action. Registration is in a form prescribed by the Clerk
and requires identification of the action as well as the name, address, telephone number and Internet e-
mail address of the party. A sample Motion for Permission for Electronic Case Filing is available here. The
Court may require the party to attend in-person training for Electronic Case Filing as a condition of
registering as a Filing User. If, during the course of the proceeding, the party retains an attorney who
appears on the party's behalf the attorney must advise the Clerk to terminate the party's registration as a
Filing User upon the attorney's appearance.
(b) A pro se party who is not incarcerated may consent to be a Receiving User (one who receives
notices of court filings by e-mail instead of by regular mail, but who cannot file electronically). A sample
Pro Se (Non-prisoner) Consent & Registration Form to Receive Documents Electronically is available here.
2.3 Filing Users agree to protect the security of their passwords and immediately notify the Clerk and
PACER if they learn that their password has been compromised.
2.4 In a civil action the Clerk will transmit Notices of Electronic Filing (NEF) to:
(a) the attorney who electronically filed the case initiating document;
(b) each attorney identified on the Civil Cover Sheet or case initiating document in
cases opened on the ECF system by the Clerk;
(c) each additional attorney who subsequently appears in the action and
electronically files a Notice of Appearance;
(d) any pro se party who has received permission from the Court to register as a Filing
User; and
(e) any pro se party who has registered as a Receiving User.
In a criminal case the Clerk will enter, as Filing Users to whom Notices of Electronic Filing will be transmitted
and who will be granted access to electronically file and retrieve documents in the case, the attorney(s) for
the United States identified on the Criminal Designation Form or subsequently identified as representing
the United States in the case and each attorney electronically filing a Notice of Appearance on behalf of a
defendant.
2.5 An attorney of record may, by written request to the judge, have transmission of Notices of
Electronic Filing (NEF) to another attorney in his or her firm terminated. Please review the judge’s
Individual Practices.
(See section 22 - ECF Passwords).
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Section 3. Consequences of Electronic Filing
3.1 Except as otherwise provided in section 4 herein, electronic filing of a document in the ECF system
consistent with these procedures, together with the transmission of a Notice of Electronic Filing (NEF) from
the Court, constitutes filing of the document for all purposes of the Federal Rules of Civil Procedure, the
Federal Rules of Criminal Procedure, and the Local Rules of this Court and constitutes entry of the
document on the docket kept by the Clerk under Federal Rules of Civil Procedure 58 and 79 and Federal
Rules of Criminal Procedure 49 and 55.
3.2 When a document has been filed electronically, the official record is the electronic recording of the
document as stored by the Court (subject to the exception set out in section 4 below), and the filing party
is bound by the document as filed. Except in the case of documents first filed in paper form and
subsequently submitted electronically under section 1, a document filed electronically is deemed filed on
the date and time stated on the Notice of Electronic Filing (NEF) from the Court. For pro se litigants, paper
documents filed with the Court, and subsequently scanned and docketed to the ECF system, shall be
deemed filed on the date the documents are received by the Court. Paper documents scanned and
docketed to the ECF system by the court are subject to disposal.
3.3 Electronic filing must be completed before midnight local time where the Court is located in order
to be considered timely filed that day.
3.4 Judges’ Individual Practices should continue to be followed with respect to delivery of courtesy
copies. (See section 19 - Service of Electronically Filed Documents).
Section 4. Entry of Court Orders
4.1 All orders, decrees, judgments and proceedings of the Court will be filed in accordance with these
procedures and entered on the docket kept by the Clerk under Federal Rules of Civil Procedure 58 and 79
and Federal Rules of Criminal Procedure 49 and 55. Orders of the Court may appear solely in electronic
form. Documents may be signed by a judge using an electronic signature or may be scanned so as to contain
an image of the judge’s signature.
4.2 A Filing User submitting a document electronically that requires a judge’s signature must promptly
deliver the document in such other form, if any, as the Court requires. (See section 18 - Non-Electronic
Documents).
4.3 All Filing and Receiving Users have an obligation to review the Court’s actual order, decree, or
judgment, as available on ECF, and should not rely on the description of such order, decree or judgment in
the Notice of Electronic Filing (NEF) alone. In the case of any discrepancy between an order, decree, or
judgment of the Court and the description of such order, decree, or judgment in the NEF, the order, decree,
or judgment of the Court shall control.
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Section 5. Attachments and Exhibits
5.1 Filing Users must submit all documents referenced as exhibits or attachments in electronic form,
unless the Court permits paper filing. Each document filed as an exhibit must be filed as a separately
numbered attachment to the main document and must be clearly titled with an objective description of
the document (e.g., 6/14/19 Deposition of John Doe; 10/14/21 Letter from Smith to Jones; 3/15/20-
3/23/20 Email Thread between Doe and Roe) so that the nature of the exhibit and its relevance are clearly
discernible without the need to open the file. The filing of exhibits in text searchable format is
encouraged, but not required.
5.2 A Filing User must submit as exhibits or attachments only those excerpts of the referenced
documents that are relevant to the matter under consideration by the Court. Excerpted material must
be clearly and prominently identified as such. Filing Users who file excerpts of documents as exhibits or
attachments under this procedure do so without prejudice to their right to file timely additional excerpts
or the complete document. Responding parties may file timely additional excerpts that they believe are
relevant or the complete document. A party may move before the Court for permission to serve and file
in hard copy documents that cannot be reasonably scanned.
5.3 In cases where the record of an administrative or other prior proceeding must be filed with the
Court, such record may be served and filed in hard copy without prior motion and order of the Court. (See
section 15 – Amended Pleadings and Motions).
Section 6. Filing Under Seal and Redacting in Civil and Miscellaneous Cases
6.1 Do I need permission to file under seal or redact?
Yes. Documents may not be placed under seal or redacted without leave of the Court. A filing under
seal must be preceded by either a Motion to Seal, a Letter Motion to Seal or an Order of the Court
permitting filing under seal. (A Motion to Seal is not required for information redacted in accordance with
Federal Rule of Civil Procedure 5.2(a).)
6.2 Is electronic filing under seal in ECF limited to publicly filed civil and miscellaneous cases?
Yes. Electronic filing under seal is limited to publicly filed civil and miscellaneous cases and is not
permitted in cases sealed in their entirety, or in criminal cases.
6.3 Must all Motions/Letter Motions to Seal or Redact be electronically filed in ECF?
Yes. All Motions to Seal and Letter Motions to Seal/Redact must be electronically filed through ECF.
6.4 Must all proposed sealed documents be electronically filed in ECF?
Consult the judge’s Individual Practices to determine if, in addition to the motion, the proposed sealed
document must also be electronically filed on the ECF system. Where the Individual Practices do not
expressly permit the electronic filing under seal of the proposed sealed document, or are silent on the
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subject, the proposed sealed document must be submitted in the traditional manner, on paper.
6.5 In brief, how do I electronically file a Motion to Seal or Redact?
(a) Electronically file a Motion or Letter Motion to Seal in public view on the court’s ECF
system. The motion must identify the Viewing Level to be applied to the proposed sealed
document.
(b) Electronically file any Affidavit or Declaration in Support of Motion in public view and
electronically relate it to the motion. (For information on redacting supporting
documents see 6.8.)
(c) Electronically file the proposed sealed document under seal using a restricted Viewing
Level in ECF, and electronically relate it to the motion. (For Viewing Levels see below.)
6.6 How do I electronically file documents in support of a Motion to Seal or Redact?
Documents filed in support of a Motion to Seal or Redact must be filed separately from the motion, not as
attachments to the motion, and each must be electronically related to the motion. Supporting papers
may be filed under seal or redacted only to the extent necessary to safeguard information sought to be
filed under seal (see 6.8).
6.7 How do I electronically file a proposed sealed document?
Contemporaneous with the filing of the Motion to Seal/Letter Motion to Seal, the proposed sealed
document must be separately filed using a restricted Viewing Level selected by the filer from the list below,
and it must be electronically related to the motion.
6.8 How do I electronically file a redacted document?
It is not possible to file both publicly and under seal in a single docket entry. You must therefore file the
entire document, including exhibits, twice: once publicly in redacted form; and again, as a proposed sealed
document in un-redacted form, with the redactions highlighted. Both documents must be electronically
related to the motion. In the publicly filed entry use the word “Redacted” in the title of the document
and in the summary docket text. If an entire exhibit is confidential, substitute a page in the publicly filed
entry noting the exhibit is filed under seal (a/k/a placeholder or slip sheet). Caution should be exercised
when redacting electronically to ensure redacted text is fully masked. Not all forms of electronic
redaction are effective.
6.9 What are Viewing Levels, and how can I limit access to a proposed sealed document filed on ECF?
By default, documents filed on the ECF system are open to public inspection. However, filers may request
permission to limit access to a document (seal) filed in ECF (see 6.1). The filing party has the ability to
designate which case participants will have access by selecting the appropriate Viewing Level for the
document from the list below. Absent further restriction by the Court, the filing party will have access to
their own filings.
• Public: No restriction at all (the default option). The document may be viewed
by all PACER users and court personnel;
• Selected Parties: Access is restricted by the filer to attorneys appearing for selected case
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participants, selected pro se parties with ECF access, and court personnel;
or
• Ex Parte: Access is restricted to the attorney(s) appearing for the filing party and
court personnel.
6.10 Can a non-party case participant view a sealed filing?
Yes, but only if the filing party clicks to grant access to the non-party when filing under the Selected Parties
restricted Viewing Level, which will list each case participant by name and party role. Under the Selected
Parties Viewing Level the name of every case participant who has appeared in the case will also appear in
the list of persons the filing party may choose to grant access to the sealed filing. This includes not only
plaintiffs and defendants but also other case participants such as Interested Parties, Intervenors, Movants
and Miscellaneous parties. Caution should therefore be exercised when selecting individuals who will
receive access to a sealed filing under the Selected Parties option.
6.11 When electronically filing under seal, what will be visible to the public?
The motion and supporting papers must be filed in public view. Each will be visible to the public and
should not include confidential information sought to be filed under seal. Summary docket text on the
ECF Docket Report is always visible to the public and should never include confidential information sought
to be filed under seal. Pending a decision of the Court, access to the proposed sealed document(s) will
be limited to those persons included in the restricted Viewing Level selected by the filing party (see 6.9).
6.12 How do I electronically file under seal or redact pursuant to a prior Court order?
Where a prior order of the Court permits filing your document under seal or in redacted form, and the
judge’s Individual Practices permit electronic filing under seal, no new motion is necessary. The
document may be electronically filed under seal using a restricted Viewing Level that is consistent with the
Court’s order, and it must be electronically related to the order.
6.13 What happens after the Court rules on the Motion to Seal or Redact?
If the Court grants the motion, the proposed sealed document will retain the requested restricted Viewing
Level.
If the Court denies the motion, in whole or in part, the Court may modify the Viewing Level restriction or
the Selected Parties permitted to view the document and/or limit the extent to which the document may
be sealed and/or redacted, or unseal the document in its entirety by removing the restricted Viewing Level.
The Court may, by specific order or Individual Practice, require a previously sealed document to be unsealed
or filed in redacted form for the public record in accordance with Federal Rule of Civil Procedure 5.2(d).
6.14 How do I electronically file a new civil case under seal in whole or in part?
By first electronically filing a motion to seal in a new miscellaneous case in ECF, then filing the civil case in
the traditional manner, in paper form (if your motion is granted). The miscellaneous case will be available
for public inspection – only the motion (and attached documents) will be automatically filed under seal.
No filing fee is required.
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Step 1: File a Motion to Seal in a new Miscellaneous Case in ECF
Electronically open a new miscellaneous case in ECF (use Miscellaneous Nature of Case M-98). A
separate motion to file the application under seal is not required (authority to file under seal is
provided by Standing Order (21-MC-13). Unless ordered unsealed by the court, the application
will remain under seal regardless of the court’s decision on the motion.
(a) If seeking to file a fully sealed case filed in the traditional manner, in paper form:
1. Enter “ABC vs. DEF” when prompted for the party names;
2. File a MOTION TO FILE CIVIL CASE UNDER SEAL.
Include the following as attachments to the MOTION:
A Miscellaneous Civil Cover Sheet with the true party names;
Supporting documents, such as an Affidavit in Support and Memo of Law;
A proposed sealed Complaint;
A proposed ORDER TO FILE CIVIL CASE UNDER SEAL (use sample order
found in the Appendix);
3. Publicly file a Miscellaneous Civil Cover Sheet using “ABC vs. DEF” for party names.
- - - Or - - -
(b) If seeking only to redact the complaint (or any part of a case initiating document) in an
otherwise publicly available case:
1. Enter lead party name(s) when prompted (if seeking to redact a party name, enter
“ABC vs. DEF”);
2. File a MOTION TO FILE CIVIL CASE UNDER SEAL.
Include the following as attachments to the MOTION:
A Miscellaneous Civil Cover Sheet with the true party names;
Supporting documents, such as an Affidavit in Support and Memo of Law;
A proposed sealed Complaint in unredacted format for filing under seal;
A proposed sealed Complaint in redacted format for public filing;
A proposed ORDER TO FILE REDACTED COMPLAINT (use sample order
found in the Appendix);
3. Publicly file a Miscellaneous Civil Cover Sheet with true party names (if seeking to
redact a party name, enter “ABC vs. DEF”).
Step 2: File the Civil Case in Paper Form
(a) If the Court grants a Motion to file the new civil case fully under seal, it must be filed in the
traditional manner, in paper form in accordance with the court’s Non-Electronic Sealed
Filing Instructions found under the Cases menu option on the court’s website. Include a
copy of the sealing order, the sealed complaint and both versions of the Civil Cover Sheet
(“ABC vs DEF” and true party names). All subsequent filings must be submitted in paper
form, until further order of the court.
- - - Or - - -
(b) If the Court grants a Motion to seal or redact only the complaint (or any part of a case
initiating document) in an otherwise publicly available case, file the new civil case in the
traditional manner, in paper form, in accordance with the Non-Electronic Sealed Records
Filing Instructions. Include: a copy of the sealing order; the unredacted complaint for
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filing under seal; the redacted complaint for public filing; and a Civil Cover Sheet (If party
names are anonymous, also include a Civil Cover Sheet using “ABC vs DEF” for the party
names). Within 24 hours of filing the civil case in paper form, the filer must send PDF-A
copies of the case initiating documents to the Clerk’s Office by email in accordance with
the process described in Rule 14.2. After the case is opened on the ECF system by the
Clerk’s Office, subsequent filings may be submitted in electronic form.
6.15 What if I believe a document cannot or should not be electronically filed on ECF?
Any party that (a) is unable to comply with a judge’s requirement for electronic filing under seal through
the ECF system; (b) believes a document should be filed under seal in paper form because it is a Highly
Sensitive Document (see section 6.17 below); or (c) has another reason to believe a document should not
be electronically filed, must move for leave of the Court to file the document in the traditional manner, on
paper. Any such motion should be made to the presiding judge in accordance with his or her Individual
Practices or, if there is no presiding judge, to the Part I judge.
If the matter is time sensitive, the filing party should promptly contact the Chambers of the relevant judge
by telephone and email to alert Chambers to the motion. If Chambers does not respond within two hours,
the filing party should call the Clerk of Court at 212-805-0140 during business hours.
6.16 What is a Highly Sensitive Document?
As defined in Standing Order 21-MC-0006, subject to approval by a judge, a document may be deemed a
Highly Sensitive Document if these Rules & Instructions otherwise permit the document to be filed on the
ECF system and (1) it contains classified information or information that could harm national security; or
(2) its disclosure could reasonably be expected to cause exceptionally grave damage or injury to any person,
entity or institution.
6.17 When filing under seal will my co-counsel be able to view the sealed document on ECF?
Yes, provided the co-counsel has appeared for the filing party on ECF.
6.18 Will secondary email accounts added to my PACER/ECF account have access to sealed documents?
Yes. The secondary account holder will have the same access to sealed documents allowed to the primary
account holder.
Adding a secondary email account, including a third-party service provider (e.g., PACER Pro, DocketBird,
CourtDrive, RECAP), creates the potential to inadvertently reveal sealed or restricted case information.
Failure to take proper precautions to protect the confidentiality of information filed under seal could be a
violation of an order of the court or state bar rules regarding confidentiality. See the court’s March 27,
2019, Notice to the Bar on this subject.
6.19 What if I believe a document cannot or should not be electronically filed on ECF?
Any party unable to comply with a judge’s requirement for electronic filing under seal through the ECF
system, or who has reason to believe that a particular document should not be electronically filed, must
move for leave of the Court to file in the traditional manner, on paper.
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6.20 When is electronic filing under seal not permitted?
• Electronic filing under seal of proposed sealed documents is not permitted unless authorized by
the Individual Practices of the judge to whom the filing is directed.
• Electronic filing under seal is not permitted in criminal cases.
• Electronic filing under seal is not permitted in cases sealed in their entirety. It is only available to
parties seeking to file individually sealed or redacted documents in publicly filed civil and
miscellaneous cases.
• Electronic filing under seal is not permitted by pro se parties with electronic filing privileges without
express permission of the Court. This includes pro se parties who have been granted general
permission to electronically file documents on ECF.
Where electronic filing under seal is not permitted, the filing shall be submitted in the traditional manner,
on paper. A copy of the sealing order must be attached to the outside of the envelope containing the
documents under seal and be hand delivered to the Records Management Office.
Section 7. Retention Requirements
Documents that are electronically filed and require original signatures other than that of the Filing User
must be maintained in paper form by the Filing User until one year after all time periods for appeals expire,
except that affidavits, declarations and proofs of service must be maintained in paper form by the Filing
User until five years after all time periods for appeals expire. On request of the Court, the Filing User must
provide original documents for review.
Section 8. Signatures
8.1 The user log-in and password required to submit documents to the ECF system serve as the Filing
User’s signature on all electronic documents filed with the Court. They also serve as a signature for
purposes of the Federal Rules of Civil Procedure, including Rule 11, the Federal Rules of Criminal Procedure,
the Local Rules of this Court, and any other purpose for which a signature is required in connection with
proceedings before the Court.
8.2 Electronically filed documents must include a signature block and must set forth the name, address,
telephone number and e-mail address all in compliance with the Federal Rules of Civil Procedure and Local
Civil Rule 11.1. In the absence of a scanned signature image, the name of the Filing User under whose
log-in and password the document is submitted must be preceded by an “S/” typed in the space where the
signature would otherwise appear.
8.3 No Filing User or other person may knowingly permit or cause to permit a Filing User’s password
to be used by anyone other than an authorized agent of the Filing User. Filing Users are obligated to
immediately bring to the attention of the court any unauthorized filings.
8.4 A document requiring the signature of a party or witness shall be electronically filed in a scanned
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format that contains an image of the actual signature.
8.5 Documents requiring signatures of more than one party must be electronically filed either by: (a)
submitting a scanned document containing all necessary signatures; (b) representing the consent of the
other parties on the document; (c) identifying on the document the parties whose signatures are required
and by the submission of a notice of endorsement by the other parties no later than three business days
after filing; or (d) in any other manner approved by the Court. (See section 13 - ECF Basics).
Section 9. Service of Documents by Electronic Means
9.1 In cases assigned to the ECF system, service is complete provided all parties receive a Notice of
Electronic Filing (NEF), which is sent automatically by email from the Court (see the NEF for a list of who
did/did not receive notice electronically). Transmission of the NEF constitutes service upon all Filing and
Receiving Users who are listed as recipients of notice by electronic mail. It remains the duty of Filing and
Receiving Users to maintain current contact information with the court and PACER and to regularly review
the docket sheet of the case.
9.2 Attorneys and pro se parties who are not Filing or Receiving Users must be served with a paper
copy of any electronically filed pleading or other document. Service of such paper copy must be made
according to the Federal Rules of Civil Procedure, the Federal Rules of Criminal Procedure and the Local
Rules. Such paper service must be documented by electronically filing proof of service. Where the Clerk
scans and electronically files pleadings and documents on behalf of a pro se party, the associated NEF
constitutes service.
Section 10. Notice of Court Orders and Judgments
Immediately upon the entry of an order or judgment in a proceeding assigned to the ECF system, the Clerk
will transmit to all Filing and Receiving Users in the case, in electronic form, a Notice of Electronic Filing
(NEF). Electronic transmission of the NEF constitutes the notice required by Federal Rule of Criminal
Procedure 49(c) and Federal Rule of Civil Procedure 77(d). In ECF c
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FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 RUBY J. KRAJICK UNITED STATES DISTRICT COURT www.nysd.uscourts.gov CLERK OF COURT SOUTHERN DISTRICT OF NEW YORK 500 PEARL STREET, NEW YORK, NY 10007 300 QUARROPAS STREET, WHITE PLAINS, NY 10601 Electronic Case Filing Rules & Instructions April 24, 2023, Edition Includes Temporary Provision Regarding Pro Se Filing by Email - See Addendum FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Section Table of Contents Page Introduction........................................................................................................................ 3 What’s New…………………………………………………………………………………………………………………. 4 1. Scope of Electronic Case Filing…………………………….…………………………………..………… 5 2. Eligibility and Registration……………………….………………….…………….....……………………. 6 3. Consequences of Electronic Filing…………………………………….………………………………… 7 4. Entry of Court Orders…………………………………………………………….…………………………… 7 5. Attachments and Exhibits…………………………………………………………….…………………….. 8 6. Sealed Filing………………………………………………...………………………………….….…………….. 8 7. Retention Requirements……………………………………………………………………….….……….. 13 8. Signatures………………………………………………………………………………………….………………. 13 9. Service of Documents by Electronic Means……………………………………………………….. 14 10. Notice of Court Orders and Judgments………………………………………………………………. 14 11. Technical Failures………………………………………………………………………………………………. 14 12. Public Access……………………………………………………………………………………………………… 15 13. ECF Basics…………………………………………………………………………………………………………… 16 14. Opening a Civil Action…………………………………………………………………………………………. 23 15. Amended Pleadings and Motions……………………………………………………………………….. 26 16. Judgments………………………………………………………………………………………………………….. 27 17. Appeals………………………………………………………………………………………………………………. 28 18. Non-Electronic Documents…………………………………………………………………………………. 29 19. Service of Electronically Filed Documents…………………………………………………………… 29 20. Attorney Appearances………………………………………………………………………………………… 31 21. Privacy and Public Access to ECF Cases……………………………………………………………….. 33 22. Electronic (ECF) Filing Privileges………………………………………………………………………….. 34 23. ECF Computer System Information…………………………………………………………………….. 35 24. ECF Help Desk and Training………………………………………………………………………………… 36 Appendix……………………………………………………………………………………………………………………… 37 Addendum…………………………………………………………………………………………………………………… 39 2 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Introduction The United States District Court for the Southern District of New York implemented a Case Management/ Electronic Case Filing (ECF) system in December 2003. Electronic versions of documents have largely replaced paper documents in the Court’s files. All new civil and criminal cases filed in this Court after December 2, 2003 are ECF cases. Pro se litigants must file pleadings and documents in the traditional manner on paper unless the assigned judge has granted permission to electronically file on the ECF system. The information in this document applies only to cases assigned to the ECF system. Please reference any addenda to these Rules & Instructions for interim updates. The following should be observed when filing electronically: • The Federal Rules of Civil and Criminal Procedure, • The Court’s Local Rules, • The assigned judge’s Individual Practices, and • The Court’s Electronic Case Filing Rules & Instructions. The Court is prepared to assist you in filing electronically in the following manner: • The SDNY Electronic Case Filing Rules & Instructions are your guide to electronic filing. • Training in Electronic Case Filing (ECF) is available both in person at the courthouse and on-line at https://www.nysd.uscourts.gov/electronic-case-filing (See also section 24 - ECF Help Desk and Training). 3 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS What’s New April 24, 2023, Edition Criminal Subpoenas ECF Rule 13.28 has been revised to note the option for an attorney to request both a testimonial and a document subpoena in a criminal case through the ECF system, without a personal appearance. 13.28 How can I obtain an AO 89 criminal subpoena form signed and sealed by the Clerk of Court? An attorney may submit a request for an AO 89 form, Subpoena to Testify at a Hearing or Trial in a Criminal Case, a criminal subpoena through the court’s ECF system. In response to the request, the system will automatically generate a signed AO 89 form subpoena. The subpoena will include the court seal superimposed over the signature of the Clerk of Court but will otherwise be blank in accordance with Federal Rule of Criminal Procedure 17(a). Step 1: Connect to the court’s ECF system using your log-in and password; Step 2: Click on the Criminal tab / Criminal Subpoena Forms / Signed Subpoena Forms; Step 3: Download a blank subpoena form in fillable PDF format; Step 4: Fill in the blanks and print. Blank subpoena forms may be requested only when required for use in a pending case. Blank subpoena forms shall not be saved for use in future cases. A request for a subpoena(s) must be submitted for each new case. All forms are subject to change, and a new request will generate the most current version of the subpoena form. The request does not require a case number to be entered in ECF and no evidence of the request will appear on the public docket. An attorney may continue to obtain a signed paper criminal subpoena form at the Finance intake window in the Clerk’s Office. Pro se litigants must submit any request for a subpoena to the Clerk’s Office in paper form. Opening a Civil Action ECF Rule 14.4 is added to provide guidance regarding selection of the proper courthouse when filing a new civil action. 14.4 How do I select the proper courthouse when filing a new civil case? The Southern District of New York maintains courthouses in both Manhattan and White Plains. When selecting a courthouse for assignment of a new civil action, counsel are required to expressly certify that their choice complies with the court’s Rules for the Division of Business Among District Judges. Civil cases, other than cases removed from state court and bankruptcy appeals, are assigned in accordance with Rule 18. Cases removed from a state court and bankruptcy appeals are assigned in accordance with Rule 20. Counsel are advised to consider these rules and the facts of their case to avoid making an incorrect or unsupported certification to the court. 4 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Part I. Electronic Case Filing Rules The Court will accept for filing documents submitted, signed, or verified by electronic means that comply with the following rules. Section 1. Scope of Electronic Filing 1.1 Except as expressly provided and in exceptional circumstances preventing a party from filing electronically, all documents required to be filed with the Court must be filed electronically. Any party unable to comply with this requirement must seek permission of the Court to file in the traditional manner, on paper. Any such application made after regular business hours may be submitted through the night depository box maintained pursuant to Local Civil Rule 1.2. Unless otherwise ordered by the Court, documents filed by pro se litigants must be filed in the traditional manner, on paper, and will be scanned and docketed by the Clerk’s Office into the ECF system. (IMPORTANT NOTE - due to the coronavirus/COVID-19 pandemic, in addition to accepting pro se filings in paper form, the court has announced the temporary acceptance of filings via email from pro se parties without electronic filing privileges. See the April 1, 2020, Addendum to these Rules for further instructions.) 1.2 In civil and miscellaneous cases the filing of the initial papers, including complaints, notices, petitions, etc., the payment of any applicable fees and the request for and issuance of summonses will be accomplished electronically. (See section 14 - Opening a Civil Action). 1.3 Unless limited by their terms to civil cases, the provisions of these procedures relating to electronic filing apply in miscellaneous and criminal cases. Electronic filing procedures shall not apply to applications for arrest, search or electronic surveillance warrants; for other orders in aid of or ancillary to a criminal investigation; or to proceedings relating to the grand jury. 1.4 In a criminal case the indictment or information, including any superseders, shall be filed and given to the defendant in the traditional manner on paper in accordance with the Federal Rules of Criminal Procedure and applicable Local Rules rather than electronically; in addition, service of subpoenas shall be made in the traditional manner on paper in accordance with the Federal Rules of Criminal Procedure and applicable Local Rules. After a criminal case has been opened, counseled parties must promptly provide the Clerk of Court with electronic copies in PDF-A format of all documents previously provided in paper form. All subsequent documents must be electronically filed except as provided in these Rules & Instructions or as ordered by the Court. 1.5 The Clerk of Court shall write and revise as necessary Instructions to guide Filing Users and maximize the efficiency of the Electronic Case Filing system. (See Part II - Electronic Case Filing Instructions). 5 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Section 2. Eligibility and Registration 2.1 Attorneys admitted to the bar of this Court, including those admitted pro hac vice and attorneys authorized to represent the United States, are required to register as Filing Users of the Court’s ECF system. Unless excused by the Court, attorneys not already Filing Users appearing in cases must register as Filing Users. Registration is accomplished through the Public Access to Court Electronic Records (PACER) system. Registration is in a form prescribed by the Clerk and requires the Filing User’s name, address, telephone number, Internet e-mail address and a declaration that the attorney is admitted to the bar of this Court or authorized to represent the United States or admitted pro hac vice. See the ECF page at https://www.nysd.uscourts.gov/attorney-registration for details. 2.2 (a) The Court may permit or require a pro se party to a pending civil action to register as a Filing User in the ECF system solely for purposes of that action. Registration is in a form prescribed by the Clerk and requires identification of the action as well as the name, address, telephone number and Internet e- mail address of the party. A sample Motion for Permission for Electronic Case Filing is available here. The Court may require the party to attend in-person training for Electronic Case Filing as a condition of registering as a Filing User. If, during the course of the proceeding, the party retains an attorney who appears on the party's behalf the attorney must advise the Clerk to terminate the party's registration as a Filing User upon the attorney's appearance. (b) A pro se party who is not incarcerated may consent to be a Receiving User (one who receives notices of court filings by e-mail instead of by regular mail, but who cannot file electronically). A sample Pro Se (Non-prisoner) Consent & Registration Form to Receive Documents Electronically is available here. 2.3 Filing Users agree to protect the security of their passwords and immediately notify the Clerk and PACER if they learn that their password has been compromised. 2.4 In a civil action the Clerk will transmit Notices of Electronic Filing (NEF) to: (a) the attorney who electronically filed the case initiating document; (b) each attorney identified on the Civil Cover Sheet or case initiating document in cases opened on the ECF system by the Clerk; (c) each additional attorney who subsequently appears in the action and electronically files a Notice of Appearance; (d) any pro se party who has received permission from the Court to register as a Filing User; and (e) any pro se party who has registered as a Receiving User. In a criminal case the Clerk will enter, as Filing Users to whom Notices of Electronic Filing will be transmitted and who will be granted access to electronically file and retrieve documents in the case, the attorney(s) for the United States identified on the Criminal Designation Form or subsequently identified as representing the United States in the case and each attorney electronically filing a Notice of Appearance on behalf of a defendant. 2.5 An attorney of record may, by written request to the judge, have transmission of Notices of Electronic Filing (NEF) to another attorney in his or her firm terminated. Please review the judge’s Individual Practices. (See section 22 - ECF Passwords). 6 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Section 3. Consequences of Electronic Filing 3.1 Except as otherwise provided in section 4 herein, electronic filing of a document in the ECF system consistent with these procedures, together with the transmission of a Notice of Electronic Filing (NEF) from the Court, constitutes filing of the document for all purposes of the Federal Rules of Civil Procedure, the Federal Rules of Criminal Procedure, and the Local Rules of this Court and constitutes entry of the document on the docket kept by the Clerk under Federal Rules of Civil Procedure 58 and 79 and Federal Rules of Criminal Procedure 49 and 55. 3.2 When a document has been filed electronically, the official record is the electronic recording of the document as stored by the Court (subject to the exception set out in section 4 below), and the filing party is bound by the document as filed. Except in the case of documents first filed in paper form and subsequently submitted electronically under section 1, a document filed electronically is deemed filed on the date and time stated on the Notice of Electronic Filing (NEF) from the Court. For pro se litigants, paper documents filed with the Court, and subsequently scanned and docketed to the ECF system, shall be deemed filed on the date the documents are received by the Court. Paper documents scanned and docketed to the ECF system by the court are subject to disposal. 3.3 Electronic filing must be completed before midnight local time where the Court is located in order to be considered timely filed that day. 3.4 Judges’ Individual Practices should continue to be followed with respect to delivery of courtesy copies. (See section 19 - Service of Electronically Filed Documents). Section 4. Entry of Court Orders 4.1 All orders, decrees, judgments and proceedings of the Court will be filed in accordance with these procedures and entered on the docket kept by the Clerk under Federal Rules of Civil Procedure 58 and 79 and Federal Rules of Criminal Procedure 49 and 55. Orders of the Court may appear solely in electronic form. Documents may be signed by a judge using an electronic signature or may be scanned so as to contain an image of the judge’s signature. 4.2 A Filing User submitting a document electronically that requires a judge’s signature must promptly deliver the document in such other form, if any, as the Court requires. (See section 18 - Non-Electronic Documents). 4.3 All Filing and Receiving Users have an obligation to review the Court’s actual order, decree, or judgment, as available on ECF, and should not rely on the description of such order, decree or judgment in the Notice of Electronic Filing (NEF) alone. In the case of any discrepancy between an order, decree, or judgment of the Court and the description of such order, decree, or judgment in the NEF, the order, decree, or judgment of the Court shall control. 7 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Section 5. Attachments and Exhibits 5.1 Filing Users must submit all documents referenced as exhibits or attachments in electronic form, unless the Court permits paper filing. Each document filed as an exhibit must be filed as a separately numbered attachment to the main document and must be clearly titled with an objective description of the document (e.g., 6/14/19 Deposition of John Doe; 10/14/21 Letter from Smith to Jones; 3/15/20- 3/23/20 Email Thread between Doe and Roe) so that the nature of the exhibit and its relevance are clearly discernible without the need to open the file. The filing of exhibits in text searchable format is encouraged, but not required. 5.2 A Filing User must submit as exhibits or attachments only those excerpts of the referenced documents that are relevant to the matter under consideration by the Court. Excerpted material must be clearly and prominently identified as such. Filing Users who file excerpts of documents as exhibits or attachments under this procedure do so without prejudice to their right to file timely additional excerpts or the complete document. Responding parties may file timely additional excerpts that they believe are relevant or the complete document. A party may move before the Court for permission to serve and file in hard copy documents that cannot be reasonably scanned. 5.3 In cases where the record of an administrative or other prior proceeding must be filed with the Court, such record may be served and filed in hard copy without prior motion and order of the Court. (See section 15 – Amended Pleadings and Motions). Section 6. Filing Under Seal and Redacting in Civil and Miscellaneous Cases 6.1 Do I need permission to file under seal or redact? Yes. Documents may not be placed under seal or redacted without leave of the Court. A filing under seal must be preceded by either a Motion to Seal, a Letter Motion to Seal or an Order of the Court permitting filing under seal. (A Motion to Seal is not required for information redacted in accordance with Federal Rule of Civil Procedure 5.2(a).) 6.2 Is electronic filing under seal in ECF limited to publicly filed civil and miscellaneous cases? Yes. Electronic filing under seal is limited to publicly filed civil and miscellaneous cases and is not permitted in cases sealed in their entirety, or in criminal cases. 6.3 Must all Motions/Letter Motions to Seal or Redact be electronically filed in ECF? Yes. All Motions to Seal and Letter Motions to Seal/Redact must be electronically filed through ECF. 6.4 Must all proposed sealed documents be electronically filed in ECF? Consult the judge’s Individual Practices to determine if, in addition to the motion, the proposed sealed document must also be electronically filed on the ECF system. Where the Individual Practices do not expressly permit the electronic filing under seal of the proposed sealed document, or are silent on the 8 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS subject, the proposed sealed document must be submitted in the traditional manner, on paper. 6.5 In brief, how do I electronically file a Motion to Seal or Redact? (a) Electronically file a Motion or Letter Motion to Seal in public view on the court’s ECF system. The motion must identify the Viewing Level to be applied to the proposed sealed document. (b) Electronically file any Affidavit or Declaration in Support of Motion in public view and electronically relate it to the motion. (For information on redacting supporting documents see 6.8.) (c) Electronically file the proposed sealed document under seal using a restricted Viewing Level in ECF, and electronically relate it to the motion. (For Viewing Levels see below.) 6.6 How do I electronically file documents in support of a Motion to Seal or Redact? Documents filed in support of a Motion to Seal or Redact must be filed separately from the motion, not as attachments to the motion, and each must be electronically related to the motion. Supporting papers may be filed under seal or redacted only to the extent necessary to safeguard information sought to be filed under seal (see 6.8). 6.7 How do I electronically file a proposed sealed document? Contemporaneous with the filing of the Motion to Seal/Letter Motion to Seal, the proposed sealed document must be separately filed using a restricted Viewing Level selected by the filer from the list below, and it must be electronically related to the motion. 6.8 How do I electronically file a redacted document? It is not possible to file both publicly and under seal in a single docket entry. You must therefore file the entire document, including exhibits, twice: once publicly in redacted form; and again, as a proposed sealed document in un-redacted form, with the redactions highlighted. Both documents must be electronically related to the motion. In the publicly filed entry use the word “Redacted” in the title of the document and in the summary docket text. If an entire exhibit is confidential, substitute a page in the publicly filed entry noting the exhibit is filed under seal (a/k/a placeholder or slip sheet). Caution should be exercised when redacting electronically to ensure redacted text is fully masked. Not all forms of electronic redaction are effective. 6.9 What are Viewing Levels, and how can I limit access to a proposed sealed document filed on ECF? By default, documents filed on the ECF system are open to public inspection. However, filers may request permission to limit access to a document (seal) filed in ECF (see 6.1). The filing party has the ability to designate which case participants will have access by selecting the appropriate Viewing Level for the document from the list below. Absent further restriction by the Court, the filing party will have access to their own filings. • Public: No restriction at all (the default option). The document may be viewed by all PACER users and court personnel; • Selected Parties: Access is restricted by the filer to attorneys appearing for selected case 9 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS participants, selected pro se parties with ECF access, and court personnel; or • Ex Parte: Access is restricted to the attorney(s) appearing for the filing party and court personnel. 6.10 Can a non-party case participant view a sealed filing? Yes, but only if the filing party clicks to grant access to the non-party when filing under the Selected Parties restricted Viewing Level, which will list each case participant by name and party role. Under the Selected Parties Viewing Level the name of every case participant who has appeared in the case will also appear in the list of persons the filing party may choose to grant access to the sealed filing. This includes not only plaintiffs and defendants but also other case participants such as Interested Parties, Intervenors, Movants and Miscellaneous parties. Caution should therefore be exercised when selecting individuals who will receive access to a sealed filing under the Selected Parties option. 6.11 When electronically filing under seal, what will be visible to the public? The motion and supporting papers must be filed in public view. Each will be visible to the public and should not include confidential information sought to be filed under seal. Summary docket text on the ECF Docket Report is always visible to the public and should never include confidential information sought to be filed under seal. Pending a decision of the Court, access to the proposed sealed document(s) will be limited to those persons included in the restricted Viewing Level selected by the filing party (see 6.9). 6.12 How do I electronically file under seal or redact pursuant to a prior Court order? Where a prior order of the Court permits filing your document under seal or in redacted form, and the judge’s Individual Practices permit electronic filing under seal, no new motion is necessary. The document may be electronically filed under seal using a restricted Viewing Level that is consistent with the Court’s order, and it must be electronically related to the order. 6.13 What happens after the Court rules on the Motion to Seal or Redact? If the Court grants the motion, the proposed sealed document will retain the requested restricted Viewing Level. If the Court denies the motion, in whole or in part, the Court may modify the Viewing Level restriction or the Selected Parties permitted to view the document and/or limit the extent to which the document may be sealed and/or redacted, or unseal the document in its entirety by removing the restricted Viewing Level. The Court may, by specific order or Individual Practice, require a previously sealed document to be unsealed or filed in redacted form for the public record in accordance with Federal Rule of Civil Procedure 5.2(d). 6.14 How do I electronically file a new civil case under seal in whole or in part? By first electronically filing a motion to seal in a new miscellaneous case in ECF, then filing the civil case in the traditional manner, in paper form (if your motion is granted). The miscellaneous case will be available for public inspection – only the motion (and attached documents) will be automatically filed under seal. No filing fee is required. 10 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS Step 1: File a Motion to Seal in a new Miscellaneous Case in ECF Electronically open a new miscellaneous case in ECF (use Miscellaneous Nature of Case M-98). A separate motion to file the application under seal is not required (authority to file under seal is provided by Standing Order (21-MC-13). Unless ordered unsealed by the court, the application will remain under seal regardless of the court’s decision on the motion. (a) If seeking to file a fully sealed case filed in the traditional manner, in paper form: 1. Enter “ABC vs. DEF” when prompted for the party names; 2. File a MOTION TO FILE CIVIL CASE UNDER SEAL. Include the following as attachments to the MOTION: A Miscellaneous Civil Cover Sheet with the true party names; Supporting documents, such as an Affidavit in Support and Memo of Law; A proposed sealed Complaint; A proposed ORDER TO FILE CIVIL CASE UNDER SEAL (use sample order found in the Appendix); 3. Publicly file a Miscellaneous Civil Cover Sheet using “ABC vs. DEF” for party names. - - - Or - - - (b) If seeking only to redact the complaint (or any part of a case initiating document) in an otherwise publicly available case: 1. Enter lead party name(s) when prompted (if seeking to redact a party name, enter “ABC vs. DEF”); 2. File a MOTION TO FILE CIVIL CASE UNDER SEAL. Include the following as attachments to the MOTION: A Miscellaneous Civil Cover Sheet with the true party names; Supporting documents, such as an Affidavit in Support and Memo of Law; A proposed sealed Complaint in unredacted format for filing under seal; A proposed sealed Complaint in redacted format for public filing; A proposed ORDER TO FILE REDACTED COMPLAINT (use sample order found in the Appendix); 3. Publicly file a Miscellaneous Civil Cover Sheet with true party names (if seeking to redact a party name, enter “ABC vs. DEF”). Step 2: File the Civil Case in Paper Form (a) If the Court grants a Motion to file the new civil case fully under seal, it must be filed in the traditional manner, in paper form in accordance with the court’s Non-Electronic Sealed Filing Instructions found under the Cases menu option on the court’s website. Include a copy of the sealing order, the sealed complaint and both versions of the Civil Cover Sheet (“ABC vs DEF” and true party names). All subsequent filings must be submitted in paper form, until further order of the court. - - - Or - - - (b) If the Court grants a Motion to seal or redact only the complaint (or any part of a case initiating document) in an otherwise publicly available case, file the new civil case in the traditional manner, in paper form, in accordance with the Non-Electronic Sealed Records Filing Instructions. Include: a copy of the sealing order; the unredacted complaint for 11 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS filing under seal; the redacted complaint for public filing; and a Civil Cover Sheet (If party names are anonymous, also include a Civil Cover Sheet using “ABC vs DEF” for the party names). Within 24 hours of filing the civil case in paper form, the filer must send PDF-A copies of the case initiating documents to the Clerk’s Office by email in accordance with the process described in Rule 14.2. After the case is opened on the ECF system by the Clerk’s Office, subsequent filings may be submitted in electronic form. 6.15 What if I believe a document cannot or should not be electronically filed on ECF? Any party that (a) is unable to comply with a judge’s requirement for electronic filing under seal through the ECF system; (b) believes a document should be filed under seal in paper form because it is a Highly Sensitive Document (see section 6.17 below); or (c) has another reason to believe a document should not be electronically filed, must move for leave of the Court to file the document in the traditional manner, on paper. Any such motion should be made to the presiding judge in accordance with his or her Individual Practices or, if there is no presiding judge, to the Part I judge. If the matter is time sensitive, the filing party should promptly contact the Chambers of the relevant judge by telephone and email to alert Chambers to the motion. If Chambers does not respond within two hours, the filing party should call the Clerk of Court at 212-805-0140 during business hours. 6.16 What is a Highly Sensitive Document? As defined in Standing Order 21-MC-0006, subject to approval by a judge, a document may be deemed a Highly Sensitive Document if these Rules & Instructions otherwise permit the document to be filed on the ECF system and (1) it contains classified information or information that could harm national security; or (2) its disclosure could reasonably be expected to cause exceptionally grave damage or injury to any person, entity or institution. 6.17 When filing under seal will my co-counsel be able to view the sealed document on ECF? Yes, provided the co-counsel has appeared for the filing party on ECF. 6.18 Will secondary email accounts added to my PACER/ECF account have access to sealed documents? Yes. The secondary account holder will have the same access to sealed documents allowed to the primary account holder. Adding a secondary email account, including a third-party service provider (e.g., PACER Pro, DocketBird, CourtDrive, RECAP), creates the potential to inadvertently reveal sealed or restricted case information. Failure to take proper precautions to protect the confidentiality of information filed under seal could be a violation of an order of the court or state bar rules regarding confidentiality. See the court’s March 27, 2019, Notice to the Bar on this subject. 6.19 What if I believe a document cannot or should not be electronically filed on ECF? Any party unable to comply with a judge’s requirement for electronic filing under seal through the ECF system, or who has reason to believe that a particular document should not be electronically filed, must move for leave of the Court to file in the traditional manner, on paper. 12 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS 6.20 When is electronic filing under seal not permitted? • Electronic filing under seal of proposed sealed documents is not permitted unless authorized by the Individual Practices of the judge to whom the filing is directed. • Electronic filing under seal is not permitted in criminal cases. • Electronic filing under seal is not permitted in cases sealed in their entirety. It is only available to parties seeking to file individually sealed or redacted documents in publicly filed civil and miscellaneous cases. • Electronic filing under seal is not permitted by pro se parties with electronic filing privileges without express permission of the Court. This includes pro se parties who have been granted general permission to electronically file documents on ECF. Where electronic filing under seal is not permitted, the filing shall be submitted in the traditional manner, on paper. A copy of the sealing order must be attached to the outside of the envelope containing the documents under seal and be hand delivered to the Records Management Office. Section 7. Retention Requirements Documents that are electronically filed and require original signatures other than that of the Filing User must be maintained in paper form by the Filing User until one year after all time periods for appeals expire, except that affidavits, declarations and proofs of service must be maintained in paper form by the Filing User until five years after all time periods for appeals expire. On request of the Court, the Filing User must provide original documents for review. Section 8. Signatures 8.1 The user log-in and password required to submit documents to the ECF system serve as the Filing User’s signature on all electronic documents filed with the Court. They also serve as a signature for purposes of the Federal Rules of Civil Procedure, including Rule 11, the Federal Rules of Criminal Procedure, the Local Rules of this Court, and any other purpose for which a signature is required in connection with proceedings before the Court. 8.2 Electronically filed documents must include a signature block and must set forth the name, address, telephone number and e-mail address all in compliance with the Federal Rules of Civil Procedure and Local Civil Rule 11.1. In the absence of a scanned signature image, the name of the Filing User under whose log-in and password the document is submitted must be preceded by an “S/” typed in the space where the signature would otherwise appear. 8.3 No Filing User or other person may knowingly permit or cause to permit a Filing User’s password to be used by anyone other than an authorized agent of the Filing User. Filing Users are obligated to immediately bring to the attention of the court any unauthorized filings. 8.4 A document requiring the signature of a party or witness shall be electronically filed in a scanned 13 FILED: BRONX COUNTY CLERK 06/21/2023 11:28 AM INDEX NO. 807496/2022E NYSCEF DOC. NO. 20 RECEIVED NYSCEF: 06/21/2023 SDNY ELECTRONIC CASE FILING RULES & INSTRUCTIONS format that contains an image of the actual signature. 8.5 Documents requiring signatures of more than one party must be electronically filed either by: (a) submitting a scanned document containing all necessary signatures; (b) representing the consent of the other parties on the document; (c) identifying on the document the parties whose signatures are required and by the submission of a notice of endorsement by the other parties no later than three business days after filing; or (d) in any other manner approved by the Court. (See section 13 - ECF Basics). Section 9. Service of Documents by Electronic Means 9.1 In cases assigned to the ECF system, service is complete provided all parties receive a Notice of Electronic Filing (NEF), which is sent automatically by email from the Court (see the NEF for a list of who did/did not receive notice electronically). Transmission of the NEF constitutes service upon all Filing and Receiving Users who are listed as recipients of notice by electronic mail. It remains the duty of Filing and Receiving Users to maintain current contact information with the court and PACER and to regularly review the docket sheet of the case. 9.2 Attorneys and pro se parties who are not Filing or Receiving Users must be served with a paper copy of any electronically filed pleading or other document. Service of such paper copy must be made according to the Federal Rules of Civil Procedure, the Federal Rules of Criminal Procedure and the Local Rules. Such paper service must be documented by electronically filing proof of service. Where the Clerk scans and electronically files pleadings and documents on behalf of a pro se party, the associated NEF constitutes service. Section 10. Notice of Court Orders and Judgments Immediately upon the entry of an order or judgment in a proceeding assigned to the ECF system, the Clerk will transmit to all Filing and Receiving Users in the case, in electronic form, a Notice of Electronic Filing (NEF). Electronic transmission of the NEF constitutes the notice required by Federal Rule of Criminal Procedure 49(c) and Federal Rule of Civil Procedure 77(d). In ECF c