Comments:

The court’s electronic filing system is capable of accepting sealed documents electronically from filing users, either directly into a sealed case in which the attorney is a participant or as a sealed filing in an otherwise unsealed case. See L.A.R. Misc. 113.4, which addresses service of sealed documents filed electronically. See L.A.R. Misc.

113.12 for other provisions addressing privacy concerns arising from electronic filing. Attorneys must not include private and/or confidential information in their motions to file a document under seal and must fulfill their obligations under L.A.R. Misc. 113.12. 113.8 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 2 years after the Table of Contents 76 3RD CIRCUIT LOCAL APPELLATE RULES August 1, 2011 issuance of the mandate or order closing the case, whichever is later.

If counsel withdraws and a new attorney enters an appearance, documents that require original signatures must be transferred to the new attorney of record. On request of the court, the Filing User must provide original documents for review. Source: Model Local Rules Cross Reference: None Comments: Because electronically filed documents do not include original, handwritten signatures, it is necessary to provide for retention of certain signed documents in paper form in case they are needed as evidence in the future. The Rule addresses the retention requirement for “verified documents” (in which a person verifies, certifies, affirms, or swears under oath or penalty of perjury, e.g. affidavits, stipulations or the Criminal Justice Act forms) bearing original signatures of persons other than the person who files the document electronically.

113.9 Signatures (a) The user log-in and password required to submit documents to the electronic filing 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 Appellate Procedure, the local rules of court, and any other purpose for which a signature is required in connection with proceedings before the court. (b) The name of the Filing User under whose log-in and password the document is submitted must be preceded by an “s/” and typed in the space where the signature would otherwise appear. Alternatively, an electronic signature may be used.

(c) No Filing User or other person may knowingly permit or cause to permit a Filing User’s log-in and password to be used by anyone other than an authorized agent of the Filing User. Documents requiring signatures of more than one party must be electronically filed either by: (1) submitting a scanned document containing all necessary signatures; (2) submitting a statement representing the consent of the other parties on the document; (3) identifying on the document the parties whose signatures are required and submitting a notice of endorsement by the other parties no later than three business days after filing; or (4) in any other manner approved by the court. Electronically represented signatures of all parties and Filing Users as described above are presumed to be valid signatures. If any party, counsel of record, or Filing User objects to the representation of his or her signature Table of Contents 77 3RD CIRCUIT LOCAL APPELLATE RULES August 1, 2011 on an electronic document as described above, he or she must, within 10 days, file a notice setting forth the basis of the objection.

Source: Model Local Rules Cross References: L.A.R. 28 and 46 Comments: An electronic signature or the “s/” preceding a typed name indicates that the electronically filed document was endorsed by that party or Filing User. This Rule does not require a Filing User to personally file his or her own documents. The task of electronic filing may be delegated to an authorized agent, who may use the log-in and password to make the filing. Use of the log-in and password to make the filing constitutes a signature by the Filing User under the Rule, even though the Filing User does not perform the physical act of filing.

Issues arise when documents being electronically filed have been signed by persons other than the filer, e.g., stipulations and affidavits. For documents signed by individuals without logins and passwords (non-Filing Users), the Rule provides that the signature must appear as “s/” or as a scanned image. Under L.A.R. Misc. 113.8 above, the Filing User must retain a paper copy with the original signature of any such document filed by the Filing User.

113.10 Notice of Court Orders and Judgments Immediately upon the entry of an order or judgment in a case assigned to the electronic filing system, the clerk will electronically transmit a Notice of Docket Activity to Filing Users in the case. Electronic transmission of the Notice of Docket Activity constitutes the notice and service of the opinion required by FRAP 36(b) and 45 (c). The clerk must give notice in paper form to a person who has not consented to electronic service. Source: Model Local Rules Cross-References: FRAP 45 Comments: Rules on electronic filing were added in 2008.

113.11 Technical Failures A Filing User whose filing is untimely as the result of a technical failure may seek appropriate relief from the court. Court personnel are not responsible for assisting Filing Users in the remedying of technical problems. Source: Model Local Rules 78 Table of Contents 3RD CIRCUIT LOCAL APPELLATE RULES August 1, 2011 Cross-References: L.A.R. 27 (motions) Comments: Rules on electronic filing were added in 2008. 113.12 Public Access (a) Parties, counsel, or other persons filing any document, whether electronically or in paper, must refrain from including, or must partially redact where inclusion is necessary, the following personal data identifiers from all documents filed with the court, including exhibits thereto, whether filed electronically or in paper, unless otherwise ordered by the court: (1) Social Security numbers.

If an individual’s Social Security number must be included, only the last four digits of that number should be used. (2) Names of minor children. If the involvement of a minor child must be mentioned, only the initials of that child should be used. (3) Dates of birth.

If an individual’s date of birth must be included, only the year should be used. (4) Financial account numbers. If financial account numbers are relevant, only the last four digits of these numbers should be used. (5) Home addresses.

In criminal cases, if a home address must be included, only the city and state should be listed. (b) In compliance with the E-Government Act of 2002, a party wishing to file a document containing the personal data identifiers listed above may: (1) File an un-redacted version of the document under seal, or (2) File a reference list under seal. The reference list must contain the complete personal data identifier(s) and the redacted identifier(s) used in its (their) place in the filing. All references in the case to the redacted identifiers included in the reference list will be construed to refer to the corresponding complete personal data identifier.

The reference list must be filed under seal, and may be amended as of right. (c) The un-redacted version of the document or the reference list must be retained by the court as part of the record. The court may, however, still require the party to file a redacted copy for the public file. (d) The responsibility for redacting these personal identifiers rests solely with the party, counsel, or other person filing the document.

The clerk will not review each pleading for compliance with this rule. Table of Contents 79 3RD CIRCUIT LOCAL APPELLATE RULES August 1, 2011 Source: Model Local Rules Cross Reference: Judicial Conference Policy on Privacy and Public Access to Electronic Case Files Comments: It is each filer’s responsibility to redact information from documents submitted by the filer. Documents containing prohibited personal identifiers must be redacted by the parties so as not to include un-redacted Social Security numbers, financial account numbers, names of minor children, or dates of birth. In criminal cases, home addresses also must be redacted.

Information should be provided in shortened form, rather than completely omitted, with Social Security numbers represented as XXX-XX- 1234, financial account numbers reduced to the last four digits, names of minor children represented as initials, dates of birth represented by year, and home addresses listed only by city and state. Parties should consult the “Guidance for Implementation of the Judicial Conference Policy on Privacy and Public Access to Electronic Criminal Case Files.” This Guidance explains the policy permitting remote public access to electronic criminal case file documents and sets forth redaction and sealing requirements for documents that are filed. The Guidance also lists documents for which public access should not be provided. A copy of the Guidance is available at the court’s website.

For further information on privacy issues, see the Judicial Conference policies on privacy and public access to documents filed in civil, criminal, and bankruptcy cases, as well as section 205(c) of the E- Government Act of 2002, Pub.

L. No. 107-347, 116 Stat. 2899, 2914, as amended by Pub.

L. No. 108-281, 118 Stat. 889 (2004).

113.13 Hyperlinks (a) Electronically filed documents may contain the following types of hyperlinks: (1) Hyperlinks to other portions of the same document; and (2) Hyperlinks to a location on the Internet or PACER, e.g. the appendix, that contains a source document for a citation. If hyperlinks are used in the brief, counsel must also include immediately preceding the hyperlink a reference to the paper appendix page. Hyperlinks to testimony must be to a transcript. A motion must be filed and granted seeking permission to hyperlink to an audio or video file before such links may be included in the brief or appendix.

Hyperlinks may not be used to link to sealed or restricted documents. (b) Hyperlinks to cited authority or documents may not replace standard citation format. Complete citations to paper documents if available must be included in the text of the filed Table of Contents 80 3RD CIRCUIT LOCAL APPELLATE RULES August 1, 2011 document. If a cited reference is available on the internet only, a complete citation to the internet site must be included in addition to the hyperlink.

A hyperlink, or any site to which it refers, will not be considered part of the record. Hyperlinks are simply convenient mechanisms for accessing material cited in a filed document. The court accepts no responsibility for, and does not endorse, any product, organization, or content at any hyperlinked site, or at any site to which that site might be linked. The court accepts no responsibility for the availability or functionality of any hyperlink.

(c) Hyperlinks do not replace paper copies of the appendix. Four paper copies of the appendix must be filed in accordance with L.A.R. 30.1. Source: Model Local Rules Cross-References: L.A.R. 28 and 30 Comments: Hyperlinks are a connection from one point of electronic data to another. Because hyperlinks might be to sites outside the control of the court, the court cannot take responsibility for the viability of those links, nor does it take responsibility for the content of any linked site.

Because hyperlinks are not considered part of the record, the fact that a hyperlink ceases to work or directs the user to some other site does not affect the content of the filed document. Hyperlinks are a convenient means of accessing material cited in electronic documents. Any electronically filed document that contains a hyperlink must also contain the standard citation to the same material. This requirement ensures that anyone working with a printed version of the document has the necessary citation, and that subsequent failure of a hyperlink will not preclude finding the cited material.

Just as the complete text of a document cited in a brief or other filing in support of a legal proposition, unless specifically quoted, is not considered part of the brief, the hyperlink and the site to which it refers are not considered part of the brief. Thus, they will not be considered part of the court’s record. 113.14 Changes The clerk may make changes to the procedures for electronic filing to adapt to changes in technology or to facilitate electronic filing. Any changes to procedures will be posted on the court’s internet website.

Source: Cross-reference: Comments: Table of Contents None None None 81 UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT ______________________________ ORDER ADOPTING LOCAL APPELLATE RULES ______________________________ PRESENT: SCIRICA, Chief Judge, and SLOVITER, McKEE, RENDELL, BARRY, AMBRO, FUENTES, SMITH, FISHER, CHAGARES, JORDAN, HARDIMAN, Circuit Judges IT IS HEREBY ORDERED that the preceding Local Appellate Rules are adopted by the United States Court of Appeals for the Third Circuit as supplementary to the Federal Rules of Appellate Procedure (F.R.A.P.). These rules are effective December 15, 2008 and supercede all prior editions and all prior orders amending the Local Appellate Rules. Per Curiam, s/ Anthony J. Scirica Chief Judge DATED: November 20, 2008 A true copy: /s/ Marcia M. Waldron Clerk UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT ______________________________ ORDER AMENDING LOCAL APPELLATE RULES ______________________________ PRESENT: SCIRICA, Chief Judge, and SLOVITER, McKEE, RENDELL, BARRY, AMBRO, FUENTES, SMITH, FISHER, CHAGARES, JORDAN, HARDIMAN, GREENAWAY, Circuit Judges IT IS HEREBY ORDERED that amendments which change deadlines in Local Appellate Rules 9.1, 11.1, 39.4, 46.2, 112.2, 112,.5, 113.1, 113.3 and technical amendments to Local Appellate Rules 3.3, 4.1, 22.5, 27.7, 30.5, 31.4, 33.2, 33.5, 34.1, 106, 107, 108, 111.2, 112.3, 112.4, 112.8, 112.11, 113.8, 113.9 are adopted by the United States Court of Appeals for the Third Circuit as supplementary to the Federal Rules of Appellate Procedure (F.R.A.P.). These rules are effective March 8, 2010 and supercede all prior editions and all prior orders amending the Local Appellate Rules.

Per Curiam, s/ Anthony J. Scirica Chief Judge DATED: March 3, 2010 A true copy: /s/ Marcia M. Waldron Clerk UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT ______________________________ ORDER ADOPTING LOCAL APPELLATE RULES ______________________________ PRESENT: McKEE, Chief Judge, and SLOVITER, SCIRICA, RENDELL, BARRY, AMBRO, FUENTES, SMITH, FISHER, CHAGARES, JORDAN, HARDIMAN, GREENAWAY, JR., and VANASKIE, Circuit Judges IT IS HEREBY ORDERED that amendments to Local Appellate Rules 26.1.0, 31.4, 33.0, 39.3, 46.3, are adopted by the United States Court of Appeals for the Third Circuit as supplementary to the Federal Rules of Appellate Procedure (F.R.A.P.). These rules are effective August 1, 2011, and supercede all prior editions and all prior orders amending the Local Appellate Rules. Per Curiam, s/ Theodore A. McKee Chief Judge DATED: August 1, 2011 A true copy: s/ Marcia M. Waldron Clerk