The Iowa court rules that govern electronic filing.

1. Attorney Training on Chapter 16 Rules
Business Analysts for EDMS Consultant Judge for EDMS
Brian Glass Alan Pearson
Diana Swanson
Jon Walker

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.  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. State Court Administration Committee
 Surveyed literature
 Studied federal rules
 Consulted agencies, attorneys, & others
 Draft rules circulated for comment
◦ Revised rules after pilot

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. 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. 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. 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. 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. 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. 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. 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. Remote access
Electronic 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. 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. 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. 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. Properly sign filings
1. Login and password of signer
2. Digitized, electronic, or
nonelectronic signature
3. Signature block
Rule 16.306

18. Signature block
Name /s/John Smith
Law firm, if applicable* Smith Law
Mailing Address 31 Elm, Ames, IA 50010
Telephone Number 515-555-5555
E-mail Address jsmithlaw@yahoo.com
Alternate e-mail ddsmithlaw@yahoo.com
*or entity a filing agent is filing on behalf of
Rule 16.306(4)

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. 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. Correction of errors
Clerks are responsible for the accuracy of
the docket
Clerks 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. 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. 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. Attachments
 Main document and supporting documents
◦ Motion to Amend – Main
 Amended Petition - Attachment
◦ Motion for Summary Judgment - Main
 Memorandum - Attachment
 Statement – Attachment
No Attachments
 Separate stand alone documents
◦ Petition for Dissolution & motion for protective
order
◦ Motion & proposed order
Rule 16.313(1) & (2)

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. 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. Email vs. Official Notifications
Email is a courtesy
Notification in your EDMS account is
your official notice
◦ Parties have immediate access to most
documents
◦ Exceptions: system-sealed documents
Rule 16.317

28. Parties will e-file their documents
◦ The system will serve registered parties
electronically
The 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. 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 parties
Note: No Certificate of Service is required
for parties served by the system
Rule 16.317(1)(b) & 16.320(2)(b)

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. 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. 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. 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. 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. 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. Exhibits
Submitting party must redact protected
information
◦ Inform court of protected information
◦ Redact the exhibit within 14 days
Exceptions
 SMALL CLAIMS, SIMPLES, and TRAFFIC are
exceptions – exhibits may be in paper
Rule 16.412

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. 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. 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. 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. 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. 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. 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. 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. 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. “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. 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.  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. How to redact required information
 Use last 4 digits of SSN
 Use incomplete financial account
numbers
 Use minor child’s initials only
No redaction is necessary when
 Documents are system sealed
 Cases are and will remain confidential
Rule 16.603(1) & 16.605

50. Filers may
 move to redact the information
 request an immediate order to seal a
document pending redaction
Court 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.  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. 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. 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. 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. 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. New guidelines:
Handling Electronic Payment of Court Fees
On the Judicial Branch website under
 Professional Regulation
◦ Click Attorney Regulation/Commissions
 Then click Client Security

57. Activity ID:
THANK YOU!