LR 5 - Service and Filing of Pleadings and Papers
(See Fed. R. Civ. P. 5)
LR 5-1 Types of Filers; Implications for Receipt of Service
(a) Registered Users
Attorneys admitted to the bar of this Court pursuant to LR 83-1, LR 83-3, and LR 83-4 must register with the Clerk's Office to establish a User Account in the CM/ECF system. Upon registration, attorneys are deemed to be Registered Users for purposes of these Local Rules.
- Mode of Filing
Unless otherwise limited by these rules, Registered Users must file all pleadings, documents (including attachments and exhibits), and other papers electronically through the CM/ECF system.
- Receipt of Service
Unless a Registered User has notified the Court that he or she wishes to opt out of electronic service, the Registered User has consented to receive service electronically and waived the right to receive such service by first class mail or personal service pursuant to Fed. R. Civ. P. 5(b)(2)(E). This consent does not affect service of a summons and complaint pursuant to Fed. R. Civ. P. 4; i.e., there is no electronic service of a complaint. Waiver of service and notice by first class mail applies to notice of the entry of an order or judgment.
(b) Non-Registered Users
For good cause shown in a specific case, attorneys may apply to the assigned judge for an exemption from the CM/ECF electronic filing requirements. (See LR 83-1(e).) Non-Registered Users include attorneys in the process of applying for admission to practice in the Court and any pro se party who is not approved by the Court as a Registered User.
- Mode of Filing
- Non-Registered Users, other than attorneys, must file all documents with the Clerk's Office in paper form.
- An attorney who is not a Registered User as described in LR 1-5(k) must submit the following initial case pleadings and documents as text-searchable PDF files on a CD-R at the time of case initiation: Complaint, Notice of Removal, and any State court papers in removal actions. The Civil Cover Sheet is to be included on the CD-R as a separate PDF file, but is not required to be in a text-searchable format. Any proposed summons for issuance must be included on the CD-R. Corporate Disclosure Statements, if filed at the same time as the Complaint or Notice of Removal, must be included on the CD-R as a separate text-searchable PDF file.
- Receipt of Service
A filing party is responsible for perfecting service on a Non-Registered User in any manner permitted by the Federal Rules of Civil Procedure or these local rules and for filing a Certificate of Service. (See LR 5-4(c).)
(c) Pro Se Party Litigants
A pro se party may apply to the assigned judge for permission to become either: (1) a Registered User; or (2) a recipient of electronic filing notices by e-mail without becoming a Registered User.
- Registered User
If approved as a Registered User, the Clerk will assign the pro se party a CM/ECF login and password. That individual will become a Registered User in the specific case, and the receipt by the pro se party of the Court's e-mail notices of electronic filing will constitute service upon the pro se party.
- Non-Registered User Receiving Electronic Filing Notices
If the pro se party is approved to receive electronic filing notices without becoming a Registered User, then the pro se party will not have access to the CM/ECF system for the purpose of filing documents, and there is no consent to electronic service by the pro se party. Accordingly, opposing parties are still required to serve paper copies of any documents on a pro se party who is approved to receive electronic filing notices by e-mail, but is not approved to become a Registered User.
LR 5-2 Electronic Filing
(a) CM/ECF User Manual
Registered Users are to follow the electronic filing requirements as described in detail in the CM/ECF User Manual on the Court's website at ord.uscourts.gov. This manual may be updated periodically to conform to new releases or features of the CM/ECF system. Notice of any updates will be posted on the Court's website.
(b) Text-Searchable PDF Files Required
All pleadings and documents, including attachments and exhibits, must be filed as text-searchable PDF files, unless otherwise directed by the Court.
Electronically filed documents may contain hyperlinks to other portions of the same document and/or hyperlinks to a location on the Internet that contains a source document for a citation.
- Citation Format
Hyperlinks to cited authority do not replace standard citation format. Complete citations must be included within the text of the document. Neither a hyperlink, nor any site to which it refers, is considered part of the record. Hyperlinks are simply convenient mechanisms for accessing material cited in an electronically filed document.
The Court neither endorses nor accepts responsibility for any product, organization, or content at any hyperlinked site, or at any site to which that site may be linked.
(d) Facsimile (FAX) Filings (See Fed. R. Civ. P. 5(d))
Facsimile filings are not allowed except in emergency situations, and then only when expressly approved in advance by the assigned judge and coordinated with the Clerk's Office.
(e)Exception for Filing of Administrative Records in Cases Seeking Judicial Review of Agency Actions
- Agency counsel filing an administrative record in cases seeking review of an agency action, as defined in the statute authorizing such review, must either:
- File the administrative record electronically and provide a paper judge's copy (see LR 5-10); or
- File a CD-ROM containing the administrative record as a physical exhibit by submitting it to the Clerk's Office attached to a Notice of Filing of the Administrative Record. The Clerk's Office will docket the CD-ROM as a physical exhibit to the Notice. The Clerk's Office will not transfer the content of the CD-ROM to CM/ECF, but in the event of appeal, will transmit the CD-ROM as part of the record. When filing the notice, the agency's counsel must submit to the Clerk's Office a judge's copy of the CD-ROM.
- This exception does not apply to Social Security disability benefit appeals arising under 42 U.S.C. §§ 405(g) and 1383(c).
|In actions arising under 42 U.S.C. §§ 405(g) and 1383(c), agency counsel must file the administrative record as directed by Standing Order 2016-12, In re: The Electronic Filing of the Administrative Record in Social Security Cases.|
LR 5-3 Filing Availability and Deadline
- Electronic filing via the CM/ECF system is permitted at all times, except when the system is temporarily unavailable.
- For after-business hours filing of documents in paper form, see LR 77-2.
The filing deadline for any document is 11:59 p.m. (Pacific Time) on the day the document is required to be filed.
(c) Completion of Filing
A document will be considered filed when all components of the document reside in the official court record.
(d) Scheduled Court Proceedings
If an electronic filing relates to a scheduled court proceeding that is to be held within three business days of the filing, the filing party must concurrently telephone or e-mail the assigned judge's courtroom deputy to request that chambers be promptly notified of the e-filing.
LR 5-4 Service
(a) CM/ECF Electronic Service
Completion of Service: Electronic service is complete upon transmission of the Notice of Electronic Filing but is not effective if the serving party learns that it did not reach the person to be served.
(b) Notice of Electronic Service
The Notice of Electronic Filing will be transmitted to all Registered Users who have appeared in the case. Confirmation of receipt of the Notice of Electronic Filing fulfills the notice requirements of Fed. R. Civ. P. 5(b) and 77(d), and the filing party is not required to file a Certificate of Service. (See LR 5-4(c) for Certificate of Service requirements for paper documents.)
(c) Paper Service
The filing party is responsible for perfecting paper service in any manner permitted by the Federal Rules of Civil Procedure (and for filing a Certificate of Service with the Clerk's Office) for every:
- Document permitted by these rules to be filed in paper instead of electronically;
- Electronic filing that could not be electronically served upon a party or Registered User who appeared in the action; and
- Document filed under seal not served via electronic service.
LR 5-5 Documents that Must be Filed in Paper
The following documents cannot be filed electronically and must instead be filed in paper:
- Case Initiating Documents Filed by Non-Registered Attorneys in Civil Cases. Unless otherwise ordered by the Court or permitted by these Local Rules, an attorney who is not a Registered User as described in LR 1-5(k) will file case initiating documents in paper and must also present a CD-R containing text-searchable PDF files of initial case papers at the time of filing.
- Sealed and In Camera Documents Not Filed Electronically. Except those documents authorized for filing by a Registered User under seal pursuant to a protective order in a civil case, sealed and in camera documents must be filed in paper. (See also LR 3-6, LR 3-7, and LR 26-4(b) and (c).)
- Individually Identifiable Health Information Protected under HIPAA. (See also 45 C.F.R. § 160.103.)
Return of Service documents must be electronically filed.
Note: Pursuant to Standing Order 2017-4, effective March 6, 2017, the Individual "Consent to Jurisdiction by a Magistrate Judge and Designation of the Normal Appeal Route" and concurrently filed certificate of service for that form are not required to be filed in paper. Those documents may be filed electronically.
LR 5-6 Paper Requirements
Paper copies filed with the clerk must be on one-sided 8 ½" x 11" white paper of good quality (not less than 13-pound weight), flat and unfolded, without back or cover. The paper must not be numbered down the left margin (except for exhibits that are deposition transcripts).
Rubber bands or large clips do not qualify as "permanent fastening devices" for purposes of this rule. Metal fasteners, ring or nylon binder posts may be used.
LR 5-7 Exhibits
(a) Demonstrative, Physical, or Oversized Exhibits
Demonstrative, physical, or oversized exhibits need not be filed electronically.
(b) Trial Exhibits
Electronic trial exhibits are to be submitted to the Clerk's Office per the requirements and procedures as described in "Submission Requirements for Electronic Trial Exhibits" found on the Court's website. Physical exhibits are to be handled in accordance with the trial judge's instructions.
LR 5-8 Clerk's Conversion of a Paper Filing into an Electronic Replacement
Clerk's Office staff may scan and convert a paper filing in its entirety to an electronic replacement for posting to the CM/ECF system. If a clerk does so, the paper filing may be returned to the filing party or disposed of in accordance with guidance from the Administrative Office of the U.S. Courts.
LR 5-9 Transcripts
Transcripts of courtroom proceedings held before judicial officers will be electronically filed.
LR 5-10 Judge's Paper Copy Requirements (See LR 5-6 and LR 10-1(e) and Practice Tips)
(a) Registered Users
Unless otherwise ordered by the Court, a paper copy, properly fastened pursuant to LR 10-1(e), of the following electronically filed documents, and the Notice of Electronic Filing, must be marked as a "JUDGE'S COPY" and delivered to the Clerk's Office within three business days after the electronic filing: Dispositive motions and motions for injunctive relief (including all related documents), Social Security administrative records, and any other documents (including all related documents) that, in the aggregate, are in excess of ten pages.
(b) Non-Registered Users
Unless otherwise required, Non-Registered Users need not provide a judge's copy.
LR 5-11 Documents Not Filed With the Court
(a) Documents Retained by Parties
Unless required by the Court in a particular proceeding, the following documents must be retained by the parties and not filed with the Court:
- Notices of depositions and transcripts (see LR 27 and LR 30);
- Interrogatories and responses (see LR 33);
- Requests for production and responses (see LR 34);
- Requests for admissions and responses (see LR 36);
- Expert witness disclosures (see LR 16 and LR 26);
- Unaccepted offers of judgment (see LR 68); and
- Initial Disclosures. (see LR 26)
(b) Service of Non-Filed Documents on Parties
Any document enumerated in LR 5-11(a) served pursuant to Fed. R. Civ. P. 5 must also be provided concurrently to a party by e-mail. Interrogatories, requests for production, and request for admissions must be e-mailed in Microsoft Word or WordPerfect format, not in PDF format, unless otherwise agreed by the parties.
|The purpose of LR 5-11(a)-(b) is to allow counsel to prepare responses to discovery documents easily and efficiently. This rule does not affect the prescribed period for taking any action in response to the document, which is calculated according to the selected method of service.|
(c) Proposed Forms of Orders or Judgments (See LR 10-7)
- Proposed forms of orders or judgments should not be submitted unless stipulated to by the parties or requested by the Court.
- When requested by the Court, a proposed form of order or judgment submitted by counsel must include the words "SUBMITTED BY" and the signature line requirements of LR 11-1, e.g.
Example SUBMITTED BY: John Q. Attorney
John Q. Attorney
OSB # 999-99999
Attorney for Plaintiff Smith Corporation, Inc.
- If requested, the proposed document should be e-mailed in MS Word or WordPerfect format to the applicable judge. See Practice Tip for an example.
(d) Return of Unfiled Documents or Correspondence
The Clerk will not accept for filing any courtesy or information copies of documents or correspondence exchanged between the parties unless they are contemporaneously filed as an exhibit or appendix to a pleading or other document.
(e) Letter Correspondence to the Court
Unless directed by the Court, letters to the Court will not be docketed. (See Fed. R. App. P. 10(a) for guidance about including undocketed correspondence in the official record on appeal.)
LR 5-12 Request for Conformed Copies
A party may request the Clerk to conform a copy of any document presented on paper for filing. However, the filing party must provide the Clerk with a copy of the document and a postage-paid, addressed return envelope if the copy is to be returned by mail.
LR 5-13 Court Orders and Judgments
Every order or other Court-issued document filed electronically without the original signature of a judge or Clerk has the same force and effect as if the judge or Clerk had signed a paper copy of the order and it had been entered on the docket in a conventional manner. Orders may also be issued as "text only" entries on the docket, without an attached document.
Practice Tip - Mailing Judgments to Registered Users
In accordance with Fed. R. Civ. P. 5(b) and 77(d), the Clerk's Office does not mail a paper copy of electronically filed judgments to Registered Users who have been electronically served.
LR 5-14 Retention Requirements (See LR 10-3)
(a) Documents Containing Original Signatures of Non-Registered Users
Electronically filed documents such as affidavits or declarations under penalty of perjury that contain original signatures of persons who are not Registered Users must be maintained in their original paper form by the Registered User until the later of:
- The final disposition of the case, including appeal or expiration of the time for appeal; or
- The expiration of any relevant statute of limitations.
(b) Production of Original
On request of the Court or a party, the Registered User must provide the document for review.
LR 5-15 Personal Privacy Issues (See also LR 10-3)
Information posted on the CM/ECF system may not be downloaded for uses inconsistent with the privacy concerns of any person.
- Last Updated: Thursday, February 1, 2018