Compliance and Sanctions

Responsibility for redacting the above-listed information rests solely with attorneys and the parties. The Clerk of Court will not review filings for compliance. Attorneys and the parties are cautioned that their failure to protect the above-listed information may subject them to the disciplinary power of the court and may be the basis for claims against them.

APPENDIX B

Electronic Case Filing (ECF ) Attorney User Manual Electronic Case Filing Attorney User Manual Western District of Tennessee Version IV (June 29, 2012) I. GENERAL Table of Contents i b. c. d. e. f. g. h. Specify the PDF File Name and Location for the Document to be a. b. c. d. e. f. g. ii I. GENERAL A. Overview 1. Use of this Manual and the ECF Policies and Procedures This manual provides instructions on how to use the Western District of Tennessee’s Electronic Case Filing (ECF) System. This system allows properly authorized attorneys (Filing Users) to electronically file and retrieve documents. It also facilitates the electronic service of documents on other Filing Users.

Please note that screen captures are for purposes of demonstration and may not be exactly what is displayed from the current version of ECF and/or your browser. Use of the ECF System also requires a working knowledge of an internet browser (e.g., Internet Explorer or Netscape) and the ability to use a PDF reader-writer program (e.g., Adobe Acrobat). Only the most generic instructions as to use of these type programs are provided in this manual. 2.

Help Desk If you have questions about the ECF System after reviewing the ECF Manuals and completing the ECF On-Line Training or have problems filing a document, please email your questions and/or concerns to [email protected] . Clerk’s staff will be available to help you between 8:30 a.m. and 4:30 p.m. Central Time, Monday through Friday (excluding holidays) . This manual provides instructions on use of the ECF System and, therefore, includes some general information on types of external programs and hardware you will need for this purpose. Court personnel cannot give you technical advice or assist you with specific questions regarding your chosen hardware, software programs (e.g., specific PDF reader-writer programs), or the internet (e.g., internet browsers).

Such questions should be directed to your hardware, software, or internet service provider. Systems can offer local technical support issues ranging from password problems, scanning issues, document conversion errors, etc. Additional information regarding electronic filing can be obtained from our web page: www.tnwd.uscourts.gov or by writing to: CM/ECFWestern Division United States District Court 167 N. Main, Ste. 242 Memphis, TN 38103 1 or to: CM/ECF–Eastern Division United States District Court 111 S. Highland Ave., Ste. 262 Jackson, TN 38301 NOTE: Filing by facsimile is not allowed, but a facsimile submission is allowed to preserve the time for filing in the event of a Technical Failure or other equipment failure.

ECF System Website https://ecf.tnwd.uscourts.gov Questions regarding PACER should be directed to the PACER Service Center. See infra § I.B.3. http://www.pacer.gov/ The PACER Service Center (PSC) is the National Technical Help Desk. For technical questions, contact the PACER Service Center (PSC) at 1.800.676.6856. PSC is responsible for public support of the application including general setup questions, password administration, technical questions, and billing services.

They will answer questions about browser problems or connection issues, installing and using Adobe Acrobat, and any PACER questions. Users may also e-mail questions which are answered on a daily basis. Telephone support is offered from 8:00 a.m. to 5:00 p.m. Central Time. The PSC e-mail address is [email protected] .

3. The Court’s Web Page and ECF System Capabilities The court’s web page (www.tnwd.uscourts.gov) will allow anyone with internet access to: • View or download the most recent versions of the court’s ECF manuals, handbooks, and forms referenced in said manuals; • Self-train on the web-based ECF tutorial and computer-based training modules; • Practice filing documents in the ECF “training” database; Filing Users may also: • View and save documents hyperlinked to the NEF (one time “free look”); • Electronically file documents in actual cases and electronically serve them on other Filing Users and Pro Hac Vice Participants (PHV Participants). 2 Persons with PACER accounts may also: • View docket sheets; • View filed documents in all cases (subject to some confidentiality limitations); • View various reports (e.g., civil cases report, judgments) for cases that have been electronically filed. 4.

Electronic Service – Notice of Electronic Filing One of the major benefits of the ECF System is electronic service of most filed submissions.* When a document is filed using the ECF System, a Notice of Electronic Filing (NEF) is automatically sent to the e-mail addresses provided for the Filing Users and PHV Participants in that action. The date on the NEF is the filed date. Filing is not complete until the NEF is produced. * By registering as a Filing User or Pro Hac Vice Participant, an attorney consents to electronic service of all filed documents other than documents for which electronic service is prohibited (e.g., summons, complaint, indictment, and warrants). NOTE: Be sure the ECF System’s address(es) is/are removed from your spam filter so it will not reject the system’s e-mails.

Individuals who receive electronic notification of a filing are permitted one “free look” at the document by clicking once on the associated hyperlinked document number embedded in the NEF.** The document may be saved to your computer at that time for future “free” access. Subsequent retrieval of the case docket sheet and documents from the ECF System must be made through your PACER account and is subject to regular PACER fees. ** The hyperlink to access the document will expire after the earlier of: (1) the first use; or (2) 15 days from transmission of the NEF. Any time that same hyperlink is accessed after it has expired, the NEF recipient will be asked for a PACER login and will be charged to view the document. The attorney who electronically files a document must also make Traditional Service on pro se litigants and attorneys who are not Filing Users or PHV Participants.*** The NEF must be included with the documents served.

Proof of such service shall be electronically filed with the court within one (1) business day after the electronic filing of the document (as shown on the NEF). *** The NEF will indicate which attorneys have received electronic service and will also list associated counsel and any pro se parties who have not been served via NEF. The Filing User who filed the document must make Traditional Service on any pro se parties and attorneys other than attorneys appearing pro hac vice who are listed as not having received the NEF. 3 5. Failed Transmission of NEF, E-Mail Accounts and Returned E-Mail At the end of filing, the system will generate an NEF which verifies the transmission was received.

If you do not see the NEF before logging out, check PACER to see if the filing is reflected on the docket. If it is, the transmission was successful. If it is not, contact the Help Desk. After filing a document, an NEF will be sent by e-mail.

Review this e-mailed NEF to ensure that there are no apparent problems with the notice (i.e., the hyperlink works properly). If you did see the system’s NEF before logging out of the system, but you did not receive an e-mailed NEF, check PACER to see if the document is reflected on the docket. If it is, the problem is probably with your e-mail. If it is not, the filing failed, and you should either refile or contact the Help Desk.

If the hyperlink on your e-mailed NEF does not work properly, contact the Help Desk. If you learn that another party did not actually receive service despite being listed as served on the NEF, you are responsible for further service. You must maintain an e-mail account with enough storage space to receive electronic notices from the court.* If the size of your e-mail account is not sufficient, NEF e- mails will fail and be returned to the court where they will be stored for 30 days. The court will check failed e-mails and attempt to re-send.

After 30 days, they will be deleted from the system. * In general, an account with storage space of at least 100 megabytes is sufficient. The e-mail generated from the ECF System can be voluminous and exceed the size allocated for free e-mail accounts. You may need to consider purchasing extra storage space from your Internet Service Provider (ISP). You, as the Filing User, are responsible for keeping the primary and alternative e-mail addresses you provide to the court current at all times.

To make updates: on the blue ECF Tool Bar, click on UTILITIES, My Account, Maintain your email, then follow the commands for updates. The court should be notified within 24 hours if you are having difficulty with your ISP. At the same time, you should work with the ISP to resolve the problem. When the problem is resolved, notify the Help Desk so that the court can resend the NEF e-mails to the primary e-mail address on the account.

6. Participation and Transition Period Unless excused by the court, all members of the Western District of Tennessee Bar shall register as Filing Users. Attorneys admitted pro hac vice may only participate as Filing Users in the case(s) for which pro hac admission was granted., and shall be required to consent to electronic service. Pursuant to ECF Policy & Procedures 3.1: Pro Hac Vice Applicants must download Motion for Leave to Appear Pro Hac Vice, and e-file completed form into the appropriate case, along with a Certificate of Good Standing of the highest court in which admitted, and email a proposed order to the presiding judge’s ECF mailbox.

4 Attorneys are encouraged to begin participation as soon as possible to maximize the benefits of the system, including electronic service of filed documents and notice of court orders and hearings.* * In conjunction with start up of the ECF System, the clerk’s office will cease routine use of facsimile to deliver hearing notices and orders to attorneys. Filing Users and PHV Participants will receive immediate notice of filings through NEF’s. Parties proceeding pro se and attorneys admitted to this court’s bar who are not Filing Users will receive hearing notices and orders through regular mail unless otherwise directed by the court. 7. Signatures Unless an individual judge’s preference indicates otherwise, the Filing User’s login and password in conjunction with an s/ and the Filing User’s typed name on the filed document serve as the signature: s/ John Doe Documents that require multiple s/attorney names should be filed in compliance with ECF Policy and Procedures Section 10.4 which authorizes the Filing User to add multiple attorney names.

Each attorney shall be represented by an s/attorney name and will be added to the case. The attorney filing the document represents that he or she has obtained the original signatures on a hard copy of the document in question and has that document in his or her possession. Some documents which bear the signatures of persons other than the particular Filing User who filed the document (including other Filing Users) must be electronically filed as scanned images (e.g., affidavits) except where other procedures are required (e.g.,documents signed by multiple attorneys). Special rules apply to a Filing User’s retention of documents containing original signature(s).

See ECF Policy and Procedures Section 10.5. 8. Docket Text Orders and Notices Judges, their staffs, and the clerk’s office have the ability to make docket entries which do not include an attached PDF document. For example, a judge may enter a text order granting or denying a motion by entering the ruling directly on the docket.

This docket entry will generate an NEF reflecting the content of the docket entry, however there will not be a hyperlink to an image associated with the docket entry. The NEF is delivered to all parties and serves as notice of the order. Notices of hearings may also be given through service of an NEF reflecting a text entry on the docket. The NEF is electronically delivered to all Filing Users and PHV Participants.

A hard copy will be delivered by other means (generally by regular mail) to all other attorneys and to pro se parties. 5 9. Quality Assurance The clerk’s office will perform a quality assurance review of new civil case filings entered by Filing Users. If the clerk’s office discovers an error that requires correction, the clerk’s office will make an annotation on the docket which will generate an NEF.

The NEF notifies you of a Deficiency Notice or a Courtesy Notice, depending on the nature of the error. The NEF is sent to all case participants and to the judge to whom the case is assigned. The NEF will either indicate that the clerk’s office policy does not require any further action (Courtesy Notice) or will instruct you to take further action to remedy the apparent error (Deficiency Notice). For instance, if the Filing User failed to pay the filing fee, a Deficiency Notice will be entered giving the Filing User one business day to correct the deficiency.

While the quality assurance review conducted by the clerk’s office will uncover some errors, other errors, particularly involving the filing of the wrong document, may be discovered only by the Filing User or others involved in the action. Some common causes of erroneous filings include: • posting or attaching the wrong PDF file to a docket entry; • selecting the wrong document type from the menu; • entering the wrong case number; or • failing to sign document in correct format. These type errors can be minimized or eliminated by viewing PDF files before posting or attaching them and by double checking entries before transactions are finalized in the ECF System. The ECF System does not permit changes or modifications to misfiled document(s) or incorrect docket entries after the transaction has been accepted.

NOTE: If an erroneous filing results in failure to meet a deadline, relief should be sought from the presiding judge. 10. Judicial Preferences and Proposed Orders Different judges will have different requirements as to the filings. Each judge’s instructions and other preferences (including delivery method and timing) are posted on their individual websites.

Proposed orders are to be sent in word processing format (e.g. WordPerfect, Microsoft Word) to the assigned judge’s chambers e-mail address which can be obtained from our web page under Case Information, Chambers Email Addresses or by calling the clerk’s office. 6 11. Technical Failure A Technical Failure is defined as a malfunction of court-owned or court-leased hardware, software, or telecommunications facilities which results in the inability of a Filing User to electronically file a document. Technical Failure does not include malfunctioning of a Filing User’s equipment, hardware, or software. facsimile numbers are provided on the last page of this manual or, if you still have e-mail functionality, calling the Help Desk for instructions and a possible e-mail address to use for that filing).

You must still perfect proper electronic filing within one business day after the Technical Failure is remedied. 12. Malfunction of Filing User’s Equipment If your equipment malfunctions, either hardware or software, you may preserve your time for filing using the same methods as allowed for Technical Failures. You must still perfect proper filing within one business day after preserving your time.

The filing should be perfected by electronic filing on the ECF System. In the event electronic filing is not possible, you should call the Help Desk to arrange filing by the Traditional Filing Method or other means (e.g., if you still have e-mail functionality, you may be provided with a specific e-mail address to use for that filing). 13. Public Access and Sensitive Information The ECF System will facilitate public access to court documents.

Together with the benefits provided, comes an increased risk of misuse of sensitive information. For this reason, special rules apply to the inclusion of confidential business information, as well as certain personal information (e.g., names of minors, personal identification numbers, financial information, and identifying information relating to jurors). These rules place the burden on the individual making the filing to ensure proper protection.* * The same risks apply regardless of whether the document is filed by the Traditional Filing Method or electronically through the ECF System. The same protections should, therefore, be applied regardless of the filing method.

14. Attachments and Exhibits Attachments and exhibits to motions or memoranda must be submitted in electronic form as attachments to the main document. The following rules govern these attachments: Excerpts. Only pertinent excerpts of the referenced document(s) should be submitted unless the full document is sufficiently short or the relevant excerpts so extensive that submission of excerpts would not result in a significantly shorter document.

Excerpts should be identified as such and should include appropriate identifying and authenticating pages (e.g., deposition cover page or first and last pages of contracts). Originals. The original or complete hard copy of a document for which excerpts are filed electronically need not be filed unless requested by the court. 7 Size.

A single attachment may not exceed 10 MB (10,000 KB) in its PDF form. Scanning Guidelines. Documents which are scanned from paper, rather than being generated via a word-processing program, should be scanned at 300 dpi and in black- and- white. Scanning at higher resolutions, or in color or greyscale, will result in much larger documents, which are likely to exceed the 10 MB limitation.

Multiple Attachments. Multiple exhibits (or other attachments) may be linked to the primary document as individual attachments or, if they do not exceed the allowable size, combined as a single attachment. If multiple exhibits are linked as a single attachment, they shall include a cover sheet indexing the exhibits. If this method is used, the Filing User is strongly encouraged to include internal bookmarks to aid the court in electronically locating the proper exhibit.

B. Getting Started 1.

Hardware and Software Requirements Technical requirements are minimal and inexpensive. All that is needed is access to a personal computer with: • the ability to create or convert documents into Portable Document Format (PDF) (one or more of the following): • PDF writer software (e.g., Adobe Acrobat) • a word processor that can create PDFs • a scanner and software to create PDFs • an internet connection to access the ECF System and e-mail. Dial-up connections work, but a faster connection (DSL, high speed cable, etc.) is recommended. • an approved internet browser. The ECF System has been tested and works correctly with Internet Explorer Version 7 and 8, and Mozilla Firefox 3.5.

Although not rigorously tested and certified, the ECF System also seems to work equally as well with Internet Explorer 9, Google Chrome, and later versions of Mozilla Firefox. • PDF reader software (such as Adobe Acrobat Reader) • an e-mail address • an ECF account • a PACER account. While Filing Users may file documents without a PACER account, they will be limited in their ability to retrieve documents or to query the ECF System without a PACER account. Portable Document Format (PDF) is the key to the system. PDF makes all documents viewable in their original format on any computer whether they were scanned or converted from a word processing document.

8 2. Credit Card Requirement In order to file an initiating or other document which requires payment of a filing fee (e.g., motion for pro hac vice admission), you must follow the applicable policy in this manual - . Two exceptions to this rule are initiating an action in forma pauperis and filing notices of appeal (which may, in some instances, be filed without prepayment of the filing fee).* * If you are seeking to file the action in forma pauperis, you may initiate the action without prepayment of fees by including an electronically-filed Application to Proceed without Prepayment of Fees along with your initiating documents. You may wish to contact the Help Desk for additional assistance.

3.

PACER

Registration Filing Users must have a PACER account in order to view filed documents (except the one “free look”) and to use the Query and Report features of the ECF System. If you do not have a PACER login, contact the PACER Service Center to establish an account. You may call the PACER Service Center at 1.800.676.6856 for information or to register for an account. Also, you may register for PACER online at: http://www.pacer.gov/register.html A link to PACER’s site is provided on the court’s website.

For CM/ECF technical questions, contact the PACER Service Center (PSC) at 1-800- 676-6856 . PSC is responsible for public support of the CM/ECF application including general setup questions, password administration, technical questions, and billing services. Users may also e-mail questions which are answered on a daily basis. Telephone support is offered from 8:00 a.m. to 5:00 p.m. CST.

4. Registering as a Filing User Before you are registered as a Filing User, you must submit a completed ECF Attorney Registration Form. You will be assigned a Filing User identification name (login) and password. Your login name will be the last five digits of your state issued bar id and the initials of your first and last name (e.g. 55555cg).

The login and password, in conjunction with an s/ and your typed name on the document, serve as the signature for purposes of Fed. R. Civ. P. 11. You may obtain the Electronic Case Filing Registration Form by calling the Help Desk or by going to the court’s website (www.tnwd.uscourts.gov). Completed registration forms should be faxed (901-495-1250) or mailed to: ECF System Registration United States District Court 167 N. Main St., Ste. 242 Memphis, TN 38103 or ECF System Registration United States District Court Rm 262, 111 S. Highland Ave.

Jackson, TN 38301 Fax 731-421-9210 9 Once an account has been established, your login and password will be sent to you by e-mail from the clerk’s office. Filing Users agree to protect the security of their passwords. Should your password be compromised, you are responsible for immediately changing it according to the instructions provided with your login and password and in this manual. If you lose or forget your password, call the Help Desk, and a new password will be issued.

Court personnel do not have and cannot provide you with your current password. To practice electronic filing activities, you can visit a training version of the system on the Internet at http://ecf-train.tnwd.uscourts.gov. We strongly recommend that you practice in this “training” database before filing documents in the “live” ECF System database. 5.

Setting up PDF Reader and Converting to PDF You will use PDF software for two purposes. First, you will use PDF reader software to view documents filed in the ECF System. Second, you will use PDF writer software (or similar capabilities in a word processing or scanning program) to convert documents to PDF for filing. Only PDF documents may be filed using the ECF System.

Important Reminder: Before completing your transmission in the ECF System, be sure to preview the PDF document to ensure that it appears in its entirety, is not beyond the size limit, and is in the proper format. Preferred conversion methods. As a general rule, converting from word processing to PDF is preferred over scanning because the resulting document is smaller (requires fewer bytes of storage space) and because the text is searchable. ` Some documents must be scanned. You will be required to file a scanned image of certain types of documents.

First, exhibits normally will need to be scanned rather than converted, even if the underlying document is available in word processing form. Second, certain documents bearing third party signatures (e.g., affidavits) will need to be scanned. (Documents bearing multiple attorney signatures are generally handled differently. Special retention rules apply to all documents bearing an original signature when a scanned document or other document bearing a substitute (s/) signature is filed.

Conversion using PDF Writer Programs. Various vendors provide software to create PDF documents. The Federal Judiciary does not endorse or recommend any specific PDF software. For purposes of illustration, however, we provide instructions based on one commonly used program, Adobe Acrobat Writer.* * These instructions are given as an illustration only.

You should consult materials provided by your software vendor for more detailed instructions or if these instructions do not work. When installing and using any software, please review and follow the software vendor’s directions. 10 If you have installed Adobe Acrobat Standard or Professional, you can convert your word processing document to PDF while still “in” your word processing document. While in the document, select the print function, then select “Acrobat PDF Writer” or “Adobe PDF” from the drop down list of available printers.

The printer name varies based on the version of Acrobat installed on the computer. This “print” process saves the file in PDF, with a “.pdf” file extension. (Depending on the word processing program being used, it may be necessary to find the printer selection option elsewhere.) Conversion using Word Processing Program. You may also create PDF files using some newer word processing programs, although this may create a larger file and is not, therefore, the preferred method.

For example, in WordPerfect 9, 10, 11, and 12, you can click on “File” and then “Publish to PDF” to convert your WordPerfect file (.wpd) to PDF. MS-Word (up to version XP) does NOT have this capability. Conversion via Scanner. Some of the latest generation of scanners have the ability to directly scan to PDF.

Review the instructions provided with your scanner to determine if your scanner has this capability. Special Situations 6. Sealed Documents Sealed documents may be filed in the ECF system by selecting the proper event. However, access will be restricted to court users unless an order granting access to an attorney is entered by the presiding Judicial Officer.

7. Filings Requiring Prior Approval If the document you wish to file requires leave of court, such as an amended complaint filed after a responsive pleading or a document filed out of time, you should file your motion for leave via the ECF system and simultaneously email your proposed amended document to the presiding judge’s chambers email address. If your motion is granted, the order will either indicate that the document is deemed filed or will direct you to electronically file your document. 8.

Proposed Orders Proposed Orders should be submitted, in word processing format, to the e-mail address of the district judge assigned to the case. The e-mail should include the document number of any associated motion filed through the ECF system. Proposed Orders in civil cases must comply with Local Civil Rule 7.2(a)(1)(A). 11 II.

FILING PROCEDURES 1.

General Information A. Basics You can download or view the most recent version of the ECF System’s Attorney User Manual (in PDF format) from the district court’s web page at http://www.tnwd.uscourts.gov. Look under CM/ECF. In order to fully understand the ECF System, you must use this portion of the manual in conjunction with the ECF Policies and Procedures located on the court’s web page, as well as Part I (General) and Part II (Filing Procedures) , Sections B (Civil), C (Query, Reports, Utilities and Other Miscellaneous Information) , and D (Help Desk) of the Attorney User Manual. 2.

Portable Document Format (PDF) Only PDF documents may be filed using the ECF System. Before transmitting the file to the court, Filing Users should preview the PDF document to ensure that it appears in its entirety, that it is in proper format, that it is legible, that it is the correct document to be filed, and that it is the proper size. The file size limit is 10 MB (10,000 KB) If your document exceeds the limit, you must divide it into multiple attachments which do not exceed the limit. NOTE: To determine the size of a document, choose FILE > OPEN - to access the open file dialog box.

You will see a list of files in a format determined by your view settings. Change the view to details and you will see additional file information, including file size. 10,000 KB is 10 MB. 12 To the extent it is practical and reasonable to do so, electronic data filed with the court should be converted from a word processing system directly to a PDF file using a program such as Adobe Acrobat, rather than scanning a paper copy of the document into a PDF image file.

Conversion from word processing allows for searchability within a document. If a scanned PDF document is submitted, it must be previewed for readability. Because all documents must be submitted in a Portable Document Format (PDF), fonts and resolution should be chosen for best quality conversion. The court only allows use of the following fonts (for documents to be converted from word processing format) because they convert best: Times New Roman, Arial, and Courier New.

Size of font must be (at least) 12 point. 3. Signatures and Retention The Filing User’s login and password in conjunction with an s/ and the Filing User’s typed name on the filed document serve as the signature. Documents which bear the signatures of persons other than the particular Filing User who filed the document (including other Filing Users) must be electronically filed as scanned images (e.g., affidavits) except where other procedures are required (e.g., documents signed by multiple attorneys).

Special rules apply to a Filing User’s retention of documents containing original signature(s). 4. Conventions Used in this Manual • Data to be entered by the Filing User is shown enclosed in angle brackets: <data to be entered>. • Command buttons are represented in this manual in [bracketed boldface type]. • Hyperlinks are represented in underlined type. 5.

How to View a PDF Document These instructions are given based on the most commonly used PDF reader program, Adobe Acrobat. Other PDF reader programs may be used and may differently operate. • Start the PDF program (e.g., Adobe Acrobat). • Go to [File Menu] and choose [Open]. • Click on the location and file name of the document to be viewed. • • If the designated location is correct, and the document is in PDF, the PDF program will load the file and display it on the screen. If the displayed document is larger than the screen or consists of multiple pages, the scroll bars may be used to move through the document. 13 • Click on [View Menu] for other options for viewing the displayed document.

Choose the option that is most appropriate for the document. 6. Manipulating the Screens Each screen has the following two buttons: [Clear] clears all characters entered in the box(es) on that screen. [Next] accepts the entry just made and displays it. 7.

Correcting a Mistake Prior to transmission, use the [Back] button on the browser toolbar to go back and correct an entry made on a previous screen. Once the document is transmitted to the court, the clerk’s office will notify you by an NEF if court personnel determine that changes or corrections are necessary. If you learn of an error, you should contact the Help Desk. No docket entry will be deleted.

In exceptional circumstances, the clerk’s office can delete the attachment to an entry, after which an NEF annotation of said deletion will be sent. If changes are made to an entry, e.g., a document is deleted and refiled, the clerk’s office will edit the original entry to reflect the change. 8. A Step-by-Step Guide The Attorney User Manual gives you a step-by-step guide for entering the ECF System, preparing a document for filing, filing a motion, and displaying a docket sheet.

We suggest that you go through the steps for filing on the training database before trying to file a document in a “live” case. 9. Filing User Interactions There are three general types of Filing User interactions allowed by the ECF System: 1. Entering information in data fields.

2. Using command buttons to direct system activities. 3. Mouse-clicking on hyperlinks.

Most commands in the ECF System can be accomplished using the mouse or keystrokes. 14 10. How to Access the ECF System Filing Users can get into the ECF System via the Internet by going to http://ecf.tnwd.uscourts.gov. Filing Users may also reach the ECF System through the court’s website at http://www.tnwd.uscourts.gov by clicking on the ECF System’s hyperlink.

Click on [Document Filing System] to open the login screen and log-in to the ECF System. Filing Users can also access the training database by going to the court's website. 11. Logging In This screen is the login screen.

Enter your ECF System login and password in the appropriate data entry fields. All ECF System login names and passwords are case sensitive. Use your ECF System login and password if you are entering the system to file a document or to maintain your account. If you only wish to enter the ECF System to query the database for case information or to view a document, use your PACER login and password.

PACER charges a fee to view the ECF System’s case dockets and documents. Verify that you have entered your ECF System login and password correctly. If not, click on the [Clear] button to erase the login and password entries and re-enter the correct information. After you enter the correct login and password information, click on the [Login] button to transmit your Filing User information to the ECF System.

If the ECF System does not recognize your login and password, it will display the following error message on a new screen: 12. Login failed either your login name or key is incorrect. Click on the [Back] button in your browser and re-enter your correct login and password. Once the main menu appears, choose from the list of options on the Attorney Event Menu Bar.

The date you last logged into the ECF System appears at the bottom left corner of this screen. For security reasons, you should review this information each time you log-in. 15 If you believe your last login date and time are incorrect, or suspect an unauthorized party is using your login and password, please immediately change your password in the ECF System and telephone the court’s Help Desk. The ECF System does not allow you to log-in if you have not logged out of your prior session or if someone else, e.g., your assistant, is logged in as you.

You will get a screen asking if you want to cancel or “continue” the log-in process. If you choose to continue, the ECF System will log you on and “bump” the prior log-in. 13. Selecting ECF System Features The ECF System provides the following features that are accessible from the Attorney Event Menu Bar at the top of the opening screen. [Civil]: Select to electronically file all civil case pleadings, motions, and other civil documents.

Select to electronically file miscellaneous documents (documents not in a case or proceeding). [Criminal]: Select to electronically file all criminal case pleadings, motions, and other criminal documents. [Query]: Query the ECF System by specific case number, party name, or nature of suit to retrieve documents that are relevant to the case. You must log-in to PACER before you can query the ECF System. [Reports]: Choose [Reports] to retrieve docket sheets and reports. You must log-in to PACER before you can view ECF System reports other than the [Calendar Events Report]. [Utilities]: View your personal ECF System transaction log and maintain personal ECF System account information in the Utilities area of the ECF System. [Search]: Search the ECF menus. Note: the Search feature does not work in Google Chrome. [Logout]: Exit from the ECF System.

This prevents further filing with your password until the next time you log-in. Failure to properly log-out of the ECF System will leave your account logged in, and you will get a warning message asking if you want to cancel or continue login. If you choose to continue, the ECF System will log you on and “bump” the prior log-in. You will get a similar message if you are in the system and the idle timeout logs your account off.

This will occur after 30 minutes of no activity. Filing Users will use the ECF System to electronically self-file and docket with the court a variety of documents for civil cases. 16 1. General Information B. Civil This section of the manual includes the CM/ECF Electronic Case Opening Guide, followed by the basic steps to follow when filing other civil documents.

The process is consistent regardless of the event. This portion of the manual MUST be used in conjunction with the ECF Policies and Procedures located on the court’s web page. For questions about policies and procedures not covered in this manual, call the Help Desk or visit the court's website at www.tnwd.uscourts.gov for instructions. 2.

CM/ECF Electronic Civil Case Opening Manual (click on link below) http://www.tnwd.uscourts.gov/pdf/content/CaseOpeningManual.pdf 3. Filing Other Documents for Civil Cases These are the basic steps involved in filing a civil document: a. Select the type of document to file. See Attorney Event Menu Bar shown. b. Enter the case number (e.g., yr-sequential number, as in 5-1234) in which the document is to be filed. c. Designate the party(s) filing the document. d. Specify the PDF file name and location for the document to be filed. e. Add attachments, if any, to the document being filed. f. Modify docket text as necessary. g. Transmit the document (with attachments) to the ECF System. h. Receive NEF. a. Select the Type of Document to File From the Attorney Event Menu Bar shown, the [Civil] Event window displays all of the events* from which you may choose for your filing. This section of the ECF System Attorney User Manual describes the process for filing a motion in the ECF System.

The process is similar for filing other documents in the ECF System. * If you do not see a specific event you want to use, please use a listed event that most closely reflects your filing. 17 Click on [Motions] under “Motions and Related Filings.” The motions screen appears and displays a motion selection field with a scroll bar next to it. Scroll through the menu until you find the type of motion or application you wish to file. Highlight the type of motion you are filing and click on the [Next] button.

To select more than one motion, press and hold down the control key and click on each of the desired multiple forms of relief. If you do not find a category that describes your motion(s), you must choose the type that best describes the motion(s) you are filing. You may edit the docket text in subsequent steps to better describe your motion(s), if necessary. See § II.D.2.b (Linking Documents). b. Enter the Case Number in Which the Document is to be Filed The numbers to the right of the window box show the many ways you can enter a case number.

For example, in the clerk’s office, we usually use the year, a dash and the sequential number “05-123.” 18 • If the number is incorrectly entered, the ECF System will put a message on the screen that you have entered an invalid case number. Click on the [Clear] button to re-enter. • When the case number is correct, click on the [Next] button. • If a civil and criminal case have the same number, the ECF System will let you select your case from a list of cases with the number. c. Designate the Party(s) Filing the Document Highlight the name of the party or parties for whom you are filing the motion. If you represent all defendants or all plaintiffs, you may select the entire group by holding down the control key and clicking on each party in the group or by clicking the button for all plaintiffs or all defendants located under the “Select a Group” caption as shown. After highlighting the parties to the motion, click on the [Next] button.

If your party does not appear, select “Add/Create New Party” option and follow system instructions for adding the party. For further instruction, visit the court's website at www.tnwd.uscourts.gov, under Case Information, ECF Guide to Adding Parties. If this is your first appearance in this case, you may see a screen to associate with your party. If adding yourself as an attorney to the case, the lead attorney and notice fields should be set to “yes.” 19 d. Specify the PDF File Name and Location for the Document to be Filed It is imperative that you attach an electronic copy of the actual document when prompted by the system.

All documents that you intend to file in the ECF System MUST be in PDF. When the document is in the correct format, the naming convention will end in “pdf” (example: C:199cv501-21.pdf). • Click on the [Browse] button. The ECF System opens a dialog box for you to find and choose your file. NOTE: Be sure the file type is “All Files” or “PDF Files.” • Navigate to the appropriate directory and file name to select the PDF document you wish to file. • Highlight the file you wish to upload to the ECF System. • View the document to confirm you are attaching the correct one.

In order to verify that you have selected the correct document, right mouse click on the highlighted file name to open a quick menu and left mouse click on [Open]. Your PDF program (e.g., Adobe Acrobat or Acrobat Reader) will launch and open the PDF document that you selected. You may now view the document. Once you have verified the document is correct, close the screen showing the PDF document and click on the [Open] button to 20 “open” it into the system.

The ECF System closes the “File Upload” screen and inserts the PDF file name and location in the “Motions” screen. If you selected and highlighted a file that is not in PDF, the ECF System will display an error message after you click on the [Next] button: On the other hand, if you failed to select a document to file, the ECF System will display the error message depicted below. If you click [BACK] or [OK] on the screens depicted, the ECF System will return you to a screen where you can select a document and proceed to file your motion. • Go back to the [Browse] button on the prior page. Select and highlight the PDF file of your document and continue. • • If there are no attachments to the motion, click on the [Next] button.

The docket text screen appears and you may continue with your filing. (Modifying Docket Text). If you have attachments to your motion, click on the [Yes] button. Click on the [Next] button and proceed to add the attachments as discussed in the following section (Add Attachments).

Where possible, documents filed as attachments should be created as separate documents and converted to PDF, rather than scanned. 21 e. Add Attachments, if any, to Document being Filed If you indicate you have attachments, a new screen will appear. • Click on [Browse] to search for the document file name of the attachment. A short but specific description of the contents of each document that is being attached must be entered, e.g., Exhibit One- Defendant John Smith’s deposition excerpts. • In item 2 of the graphic shown, click on the arrow located under the header “type.” The ECF System opens a drop-down list where you can search and highlight the “type” of attachment from a displayed selection, if applicable. • To describe the attachment more fully, click inside the “Description” box and type a short but specific description of the attachment. This is a required field.

Avoid using the following punctuation in the description: / \ : * ? “ < > | (The last one is a pipe symbol; it shares the key with the backslash above the enter key.) • Click on [Add to List]. • Repeat the sequence for each additional attachment. • To remove a selection, click on [Remove from List]. • After adding all of the desired PDF documents as attachments and ensuring that the descriptions are sufficient, click on the [Next] button. The ECF System adds the selected document as an attachment to the main document. 22 Attachments and exhibits that cannot be created via a word processor and converted to PDF should be scanned and converted to PDF (black and white, resolution 200 dpi) for electronic filing.

Any document greater than 4MB in size should be divided into multiple attachments. Each attachment must be clearly described, e.g., Exhibit One-Defendant John Smith’s deposition excerpts. Remember, you should file only the pertinent excerpts of documents. f. Modify Docket Text as Necessary Click on the arrow to open a modifier drop-down list. Select a modifier if appropriate.

Click in the open text area to Type additional text for the description of the document. Here is your docket text screen after it has been modified. Click on the [Next] button. g. Transmit the Document (with Attachments) to the ECF System A new window appears with the complete text for the docket report. The screen depicted contains a warning: Pressing the [Next] button on this screen commits this transaction.

You will have no further opportunity to modify this transaction if you continue. At any time prior to this step, you can abort the ECF System filing by clicking on any option on the Attorney Event Menu Bar to abort the current transaction and the ECF System will reset to the beginning of the process you just selected. 23 • Review the docket text and correct any errors. If you need to modify data on a previous screen, click the [Back] button on the browser toolbar to find the screen you wish to alter. • Click on the [Next] button to transmit the document.

Do not attempt any other ECF System function or sign off until you see the NEF for your filing. Otherwise, you may interrupt the transmission, resulting in an incomplete filing. You will see the NEF screen which provides confirmation that the ECF System has registered your transaction and the document is now an official court document. If, at this point, you desire to print or save a copy of the NEF to your computer from the ECF System, you can use the following steps. • To print, select the [Print] button on the browser toolbar to print the NEF. • To save, select the [File] button on the browser toolbar, and choose the [Print] button from the drop-down list to save the NEF to a file, e.g., on the hard drive of your computer. • Select the PDF Printer • Save your document using a naming convention and location that works for you.

24 h. Receive Notification of Electronic Filing • The ECF System sends an NEF, as shown, to the e-mail address you provided the court. The NEF displays the date and time of your transaction and the number that was assigned to your document. You should note this number on the original document which is in your custody. • The ECF System also electronically transmits the NEF to the additional e-mail addresses provided by the Filing User in the case. • The NEF displays the names of individuals who have been electronically served, as well as the names of individuals who have not been electronically served. • It is the Filing User’s responsibility to serve hard copies of the document(s) and the NEF on attorneys (except pro hac vice attorneys) and parties who are not shown as having received the NEF. Local counsel remains responsible for ensuring their associated pro hac vice attorneys, including any Pro Hac Vice Participants, are notified of all document filings and court notices. • By clicking on the case number, you will be asked to enter your PACER login and password in order to view the docket sheet. • By clicking on the document number, the hyperlink provides you with one “free” look at the document which was just filed.

If you do not open the hyperlink within 15 days of the file date, the ECF System will delete the hyperlink, and you will be directed to PACER if you wish to view the document. (Each recipient of the e-mail, e.g., individuals listed in a Filing User's additional addresses, gets their own “free” look.) It is recommended that you save and/or print the e-mail NEF and/or filed document(s) for future use. Otherwise, future access is available via PACER. C. Query, Reports, Utilities, and Other Miscellaneous Information 1.

General Information This section of the manual describes other features of the ECF System which you need in order to efficiently file and manage the documents in your case. This portion of the manual is to be used in conjunction with the ECF Policies and Procedures located on 25 the court’s website as well as Part I and Part II, Sections A, B, and C of the Attorney User Manual. For questions about policies and procedures not covered in this manual, call the Help Desk or visit the court's website at www.tnwd.uscourts.gov for instructions. 2.

Features These are the basic features you will need to efficiently file and manage your documents: Add/Create a New Party (Civil/Criminal) Linking Documents (Civil/Criminal) Query Reports Utilities Logout a. Add/Create a New Party (Civil/Criminal) In rare cases, you may need to add a party to the ECF System. If the party you represent is not listed in the “Select a Party” screen as shown, click on “Add/Create New Party.” After you click on “Add/Create New Party,” the screen depicts the search you must first perform to see if your party is already entered in the ECF System. Type the first few letters of the party’s last name for an individual or the first few letters of a company’s name and click on the [Search] button. • Always look to see if the party is already in the ECF System. • Duplicate parties create problems because Filing Users add a variety of names for parties, e.g., Governor Sanford, Mark Sanford, Mark C. Sanford, etc. • Common names such as US, USA, United States, United States of America, etc., should already be in the ECF System in correct form. A Filing User should select a name already in the ECF System if possible.

For additional information, see Case Information, ECF Guide to Adding Parties on the court’s website tnwd.uscourts.gov 26 The ECF System will display a list of party names to match the criteria given or will indicate there is not a match. If the name of the party you represent appears in the list, click on it and then click the [Select name from list] button. Check the information on the “Party Information” screen shown to ensure that the party’s role for this filing is correct. If no match is found or if your party does not appear on the “Search for Party” screen shown earlier, click [Create new party].

The ECF System will display a screen for you to enter party information. • For a company, enter the entire company name in the “Last name” field. DO NOT use abbreviations or punctuation. Choose the appropriate “Role” from the drop- down list. Click the [Submit] button. • For an individual, enter the individual’s full name.

DO NOT use abbreviations or punctuation. Choose the appropriate “Role” from the drop- down list and indicate “yes” or “no” if the party is proceeding pro se by clicking on the arrow next to “Pro se.” Click the [Submit] button. • Leave all other fields blank. b. Linking Documents (Civil/Criminal) Some documents (e.g., memoranda and responses) should be “linked” to their related documents (e.g., motions) in the case. When filing these and certain other types of documents, you will be presented with the screen shown. 27 An “event” in the ECF System is anything that has been filed in a case.

To link the document you are currently filing to a previously-filed document, check the box next to the document you feel should be linked to your document and click on the [Next] button. Because there could be multiple events with similar names, it is imperative that you ensure that you are linking to the correct document. This is another reason the addition of descriptive docket text, e.g., not just “motion to compel” but “motion to compel deposition of Bill Jones,” and descriptions for attachments are so important. If you are uncertain of the document you are attempting to link, you must have a PACER account to preview the document.

To proceed without stopping the docketing sequence, follow these steps: • Right-click on [Reports] or [Query] from the Attorney Event Menu Bar. • Left-click on [Open] in the new window. • Proceed with the PACER login and obtaining the information desired. • Switch back to the ECF Systems window and proceed to link your filing. Query Filing Users should use this feature to query the ECF System for specific case information. To enter the “Query” mode, click on the [Query] button from the Attorney Event Menu Bar as shown. The ECF System opens the PACER login screen.

You must enter your PACER login and password before the ECF System permits you to query the ECF System database. Your PACER login and password are different from your ECF System login and password. You must have a PACER account in order to retrieve, view, and print certain documents. After you enter your PACER login and password, the ECF System opens a “Query” data entry screen as shown.

You may query by case number, party, attorney, file date, nature of suit, type, etc. 28 If you know the number that the court has assigned to the case, enter it in the case number field and click on the [Run Query] button. If you query the database for the name of a party or an attorney to a specific case, enter the last name in the appropriate field. If more than one person with the name is in the database, the ECF System displays a screen from which to select the correct name, as shown. After querying the database by case number, name, or nature of suit, the ECF System will open the “Query” window for the specific case you selected.

You may also query a case by the nature of suit. You must enter a range for either the filed date or the last entry date in order for the query to run. To search for all cases of a certain type, use the date 1/1/1970. Please note, a search of all cases will take longer to run than a search that is date restricted.

When you run the query, if there is more than one case that meets the criteria, you will get a screen similar to the graphic above which lists multiple case numbers. At the top of the window as shown, the ECF System displays the case number, parties to the case, presiding judge, date that the initial claim was filed, and date of last filing for the case. You may choose specific case information from a large list of query options by clicking on the appropriate options on the screen. The process for selecting and running other queries is similar.

(1) Deadlines/Hearings This option provides information on hearings and other deadlines. If you query as illustrated, the ECF System opens the “Deadline/Hearings” screen. 29 After the window opens, if you click on a document number, the ECF System will display the actual entry that created the deadline or hearing. (2) Docket Sheet Report When you select “Docket Sheet” report, the ECF System opens the “Docket Sheet” report screen, as shown.

You may select a date range for your docketing report, as well as a range of docketing numbers. If you leave the range fields blank, the ECF System will default to print the entire docket sheet report. Place a checkmark in the box to include links to the NEF if you wish to view them from the docket sheet report. After you have selected the parameters for your report, click on the [Run Report] button.

The ECF System will run your custom docket sheet report and display it. The document numbers are hyperlinks to PDF files of the actual documents. Place your pointer on the silver ball button next to the document number and click to display the NEF for the document. (3) History/Documents This selection queries the database for case event history and documents associated with the case.

After you click on “History/Documents,” the ECF System opens the screen depicted. 30 You may select the sort order for this report and choose to exhibit all events or only those with documents attached. The ECF System also offers you the option to display the docket text in the report. After making your selections, click on the [Run Query] button.

The ECF System queries the database and builds your report. Here is an example of a portion of a “History/Documents” report. This particular report lists all the events and documents associated with the case in reverse chronological order. It also displays the docketing text for all docketed events. d. Reports The [Reports] feature of the ECF System provides the Filing User with several report options.

After selecting the [Reports] feature from the Attorney Event Menu Bar, the ECF System opens the “Reports” screen, as shown in the graphic. You may view court calendar events, docket activity report, and written opinions for a case without logging into PACER. Other reports require a PACER login. Following are instructions for docket sheets, docket activity, written opinions, and civil cases.

The process for selecting and running other reports is similar. 31 (4) Docket Sheet Click on the [Docket Sheet] option. The ECF System opens the PACER login screen. Enter your PACER login and password.

Click on the [Login] button and the ECF System will open the “Docket Sheet” report query window. This is the same query window that the ECF System displayed when you selected “Docket Sheet” report from the [Query] button. Enter the case number for your docket sheet in the case number field. Select parameters for the remainder of the data entry fields and click on the [Run Report] button.

The ECF System will display a full docket sheet for the case selected. Docket Activity Report This report shows you what event were docketed during a specified period of time. You can select from a variety of criteria. The Activity in My Cases report will allow an attorney to run a daily (one day at a time) transaction of any activity in any of his or her cases.

This will help an attorney who feels he or she may have missed an NEF on a particular day. (5) Written Opinions Report The E-Government Act of 2002 mandated the change that “The courts must make written opinions available in a text-searchable format via the web.” (The judge may use an s/ name or a graphical signature as long as the document is converted in such a way as to maintain text searchability.) 32 If a PACER user runs a docket report, the user will be charged for the docket report, but if the user clicks on the document number hyperlink for an opinion order, the user will not be charged for viewing the document. If the user clicks on a document number hyperlink for an order which is not an opinion order, the user will be charged for viewing the document. (6) Civil Cases Report The “Civil Cases Report” provides you with the flexibility to query the ECF System database to locate cases electronically filed within a specific date range or by nature of suit and cause code.

When you click on “Civil Cases,” the ECF System will display the PACER login screen. Login to PACER and the ECF System will open the “Civil Cases Report” screen, as shown. Enter the range of case filing dates for your report and select a nature of suit or cause code if you wish to narrow your search. If you leave all fields blank, the ECF System will display a report for all cases opened in the ECF System.

The far-left column of the “Civil Cases Report” contains hyperlinked case numbers. If you click on a particular case number, the ECF System opens the “Docket Sheet” report window from which you can retrieve the docket sheet for the selected case. Follow the instructions in the previous section for a “Docket Sheet” report. 33 e. Utilities Feature The [Utilities] feature provides the means for the Filing User to maintain their account in the ECF System and to view all of their ECF System transactions.

(7) Your Account This section of the [Utilities] feature provides you the capability to maintain certain aspects of your ECF System account with the court and to view a log of all your transactions within the ECF System. (8) Maintain Your Account Go to the “Maintain Your Account” option to open the “Maintain User Account” information screen. This screen displays all of the registration information that is contained within the ECF System database for your account with the court. It is read-only.

If you discover any incorrect information that needs to be changed, please notify the court immediately. Notice the “Add headers to PDF documents” box. E-filed documents do not have the traditional filed stamp; rather, there is an electronic stamp which appears at the top of each page indicating information about the filing, including filed date. If you do not want that header, uncheck that box.

Clicking on the [E-mail information] button opens another screen. The ECF System will e-mail to parties their NEF based upon the information entered in this screen. Perform the following steps to enter additional e-mail addresses for individuals that you wish the ECF System to notify regarding new case documents. 34 • Enter a check mark by clicking in the box to the left of the line, which reads “to these additional addresses.” • Enter the e-mail addresses of those individuals you wish to notify concerning your cases.

You can enter approximately ten (10) e-mail addresses. C On this screen, you can indicate that you would like to receive notice in additional cases (in which you are not involved). You would then receive the NEFs in those cases; however, your name would not be listed on the NEF unless you are an attorney in the case. • This is also the screen where you choose whether to receive a notice for each filing or a daily summary report. This selection applies to primary e-mail addresses and to all additional addresses.

After updating your account information, click on the [Return to Account screen] button to return to your “Maintain User Account” screen. (9) Change Password To edit or view login information about your account, select the [More User Information] button, from the “Maintain User Account” screen, as shown. This screen displays the Filing User’s login information and provides the means to change your ECF System password. Notice that the ECF System displays a string of asterisks in the “Password” field.

35 To change your ECF System password, place your cursor in the “Password” field and delete the asterisks. Type in your new password. The ECF System displays the actual characters of your new password as you type. When you have completed your interface with the ECF System from this screen, click on the [Return to Account screen] button to reopen the “Maintain User Account” screen.

NOTE: You should change your password periodically to keep it from being compromised. When you are satisfied that all of your account information is accurate and up-to- date, click on the [Submit] button at the bottom of the “Maintain User Account” screen to submit your changes to the ECF System. The ECF System will notify you on-screen that your updates were accepted. If you changed passwords, you may begin using the new password during your next ECF System session.

NOTE: If you have lost or misplaced your login information, please send an e- mail to [email protected] or call the Help Desk. (10) View Your Transaction Log From the “Utilities” screen, click on the [View your Transaction Log] button. The ECF System opens a screen with two fields for entering your date selection criteria. Enter the date range for your report and click on the [Submit] button.

The ECF System displays a report of all your transactions in the ECF System within the date range you specified for date selection criteria. Use this feature to review your transactions and to verify that all of the transactions you entered are reflected in the “Transaction Log” and that no unauthorized individuals have entered transactions into the ECF System using your login name and password. 36 If you believe or suspect someone is using your login and password without your permission, change your password immediately, then telephone the court’s Help Desk as soon as possible. (11) Other Features The ECF System provides three miscellaneous functions within the [Utilities] option of the system. • Legal Research • Mailings • Verify a Document When you click on the “Legal Research” option from the “Miscellaneous” screen, the ECF System opens a new screen that contains hyperlinks to a law dictionary, a medical dictionary, and legal research resources (Westlaw and Lexis via the Internet).

Select the “Verify a Document” option to open a query screen and enter data in the screen fields to locate a particular document attached to a specific case number. There is also a “Mailings” option that opens a new screen for requesting mailing information or labels from the ECF System. f. Logout After you have completed all of your transactions for a particular session in the ECF System, you should exit the system. Click on the [Logout] option from the ECF System Attorney Event Menu Bar. The ECF System will log you out of the system and return you to the ECF System “Login” screen. g. Clearing Cache Why do I need to clear my cache?

Even though pages on a site may have been updated, you may be viewing old information if your browser's cache (pronounced “cash,” a type of electronic memory) is not being cleared as frequently as it should be. Generally, the first time you enter a Web address, your browser goes to the Internet to get the information you are requesting and temporarily stores it in the cache. When you request information at the same address again, your browser goes to the cache first, rather than directly to the Internet, to retrieve the information. For this reason, the information stored in the cache may be outdated.

37 We recommend that you set your browser so that the cache is automatically cleared out frequently and your system is always retrieving fresh information directly from the Internet. Following are instructions for use with the ECF System’s recommended browsers. If you are using a different version or browser manufacturer, please refer to the appropriate documentation or web site for detailed information they may have provided on this topic. For Internet Explorer: 1.

On the Tools menu of your toolbar, click Internet Options. 2. Click the General tab. 3.

In the Browsing History section, click the Delete button. 4. A new window will pop up. Check only Temporary Internet Files.

5. Click Delete. The new window will close. 6.

Click OK to close Internet Options. For Mozilla Firefox: 1. On Windows, select Options from the Tools menu. 2.

On a Macintosh, select Preferences from the Edit menu. 3. Click the Advanced button. 4.

Select the Network tab. 5. In the Cached Web Content section, click the Clear Now button. For Google Chrome: 1.

From the "wrench" menu, select Tools + Clear Browsing Data. 2. Check only Empty the Cache. 3.

Click the Clear Browsing Data button. 38 APPENDIX C Guidelines for Professional Courtesy and Conduct UNITED STATES DISTRICT COURT Attorney Conduct GUIDELINES FOR PROFESSIONAL COURTESY AND CONDUCT I. ACKNOWLEDGMENTS In 1988, the Board of Directors of the Memphis Bar Association, acting on the theme of "Professionalism" adopted by President Jerome Turner during his tenure in office, appointed a Committee on Professionalism composed of six highly respected lawyers and judges: -Walter P. Armstrong, Jr., Esquire, former President of the Tennessee Bar Association; -Leo Bearman, Jr., Esquire, former President of the Memphis & Shelby County Bar Association and recipient of the Sam A. Myar, Jr. Memorial Award; -The Honorable Bernice B. Donald, first black female ever appointed to the United States Bankruptcy Court; -David J. Harris, Esquire, former President of the award-winning Young Lawyers Division of the Memphis & Shelby County Bar Association; -The Honorable Charles O. McPherson, a judge of the Circuit Court of Tennessee since 1973; and -John J. Thomason, Esquire, a member of the American College of Trial Lawyers and also recipient of the Sam A.Myar, Jr. Memorial Award. Their assigned task – to compose a statement of the conduct expected of a true professional by one’s fellow lawyers. These men and Judge Donald brought to this task established reputations for understanding and exemplifying the concept of professionalism; years of experience in dealing with other lawyers and judges on a plane above normal; and a willingness to help engender a concrete recognition that our responsibilities as lawyers do not stop with zealous representation of our clients.

These Guidelines for Professional Courtesy and Conduct are the product of their valued collective judgment and wisdom, and the Memphis Bar Association expresses its deep gratitude for their diligent efforts, many hours of work and their evident understanding and expression of the fact that the practice of law is truly a profession. II.

INTRODUCTION

The words that you are about to read and the concepts conveyed by these words are an expression by the lawyers of Memphis and Shelby County, Tennessee, of the level of professional conduct to which they aspire in their everyday practice of a demanding and challenging calling, a career that far transcends the business of making a living. In these days, however, when the consumer has come to set the pace, when financial demands are ever present, when competition for clients appears pervasive and the legal profession sees itself being dragged along in the grip of change, it does the members of this magnificent profession well to momentarily pause to remember that the success of a lawyer cannot be measured alone by the number of verdicts won, nor by the amount of fees earned, but must take into account the means by which the verdicts are won and the fees are earned. These guidelines do not attempt to set forth new standards of minimally acceptable conduct, nor to suggest that transgression should subject a lawyer to sanctions beyond the mental or emotional rejection of such transgressions by peers. What these guidelines do attempt is to remind us as lawyers, both young and old, experienced and inexperienced, trial and commercial, that the true value of our profession can be seen in a lawyer’s recognition that he or she truly owes broad duties to this legal system itself, duties which render us committed to the continued improvement and success of this nation’s effort to afford justice in our civilization – based not on a man’s dictates but on laws that apply not just to some, but to all.

Judge Jerome Turner December 1998 III. PREAMBLE A lawyer’s duty to each client is to represent that client zealously within the bounds of the law. In striving to fulfill that duty, a lawyer must ever be conscious of the broader duty owed to the legal system which is designed to resolve human and societal problems in a rational and logical manner. A lawyer owes to the judiciary a duty of candor, honesty, diligence and utmost respect.

A lawyer owes to opposing counsel a duty of courtesy, fairness, and cooperation. A lawyer should strive to achieve higher standards of conduct than those called for by the Code of Professional Responsibility. A lawyer owes to the administration of justice a duty of personal dignity and professional integrity. In furtherance of these fundamental concepts, the following Guidelines for Professional Courtesy and Conduct are hereby adopted.

These Guidelines are not intended nor should they be construed as establishing any minimum standards of professional care or competence. The sole purpose of adopting these Guidelines is to promote and foster the ideals of professional courtesy, conduct and cooperation set out above. IV. COURTESY, CIVILITY, AND PROFESSIONALISM A. General Duties of Courtesy and Professional Conduct 1.

2. A lawyer should treat the opponent, the opposing party, the court, and court staff with courtesy and civility, conducting business in a professional manner at all times. A lawyer has no right—even when urged by a client—to abuse or indulge in offensive conduct toward an opposing party. A lawyer should treat adverse witnesses and parties with fairness and due consideration.

3. While clients in adversary proceedings may harbor ill feelings toward one another, such feelings should not influence a lawyer’s conduct, attitude, or demeanor toward opposing counsel. 4. A lawyer should do all that is necessary to ensure that clients, the public, and other lawyers respect the judicial system.

To this end, a lawyer should: a. Never knowingly misstate fact or law, regardless of pressure to do so. b. Not engage in tactics that complicate or delay matters unnecessarily. c. Avoid creating unrealistic expectations for a client or the public. d. Avoid denigrating the legal profession, the court system, or opposing counsel.

A. Duties to the Profession and the Community 1.

2. 3. A lawyer should encourage methods and practices that simplify and reduce the cost of legal services. A lawyer should never institute or pursue a legal procedure solely for personal profit where there is no reasonable expectation that it will advance the client’s interests.

A lawyer should preserve and respect the law by observing all duties to the community and the profession. To this end, a lawyer should: a. Contribute time and expertise to those unable to afford representation. b. Participate in public service and public education activities, personally and financially, and encourage fellow lawyers to do the same. c. Work to develop among lawyers a strong commitment to integrity, honesty, competence, fairness, independence, courage, and dedication to the public interest.

B. Duties of Communication and Honesty 1.

A lawyer should recognize the importance of communication with clients and adversaries and should return calls and respond to correspondence promptly. 2. A lawyer should never deceive the court or another lawyer. 3.

A lawyer should honor promises or commitments made to another lawyer. 4. A lawyer should make every reasonable effort to cooperate with opposing counsel. 5.

A lawyer should maintain a cordial and respectful relationship with opposing counsel. 6. A lawyer should seek sanctions against opposing counsel only when required for the protection of the client or the legal system, and not for tactical advantage. 7.

A lawyer should not make unfounded accusations of unethical conduct against opposing counsel. 8. A lawyer should never intentionally embarrass another lawyer and should avoid personal criticism. 9.

A lawyer should always be punctual.

V. PROFESSIONAL CONDUCT IN LITIGATION A.

Scheduling, Continuances, and Court Commitments 1. A lawyer should respect the schedules and commitments of opposing counsel, clients, and the courts. To this end, a lawyer should: a. Consult opposing counsel, when practical, before scheduling hearings and depositions. b. Avoid unnecessary continuances of trials, hearings, or depositions. c. Immediately notify opposing counsel and the court of scheduling conflicts. 2.

A lawyer should consult opposing counsel in an effort to resolve matters by agreement before filing motions or requesting hearings.

B. Discovery Conduct 1.

A lawyer should refrain from unnecessary, excessive, or abusive discovery. Requests for production should not be excessive or designed solely to burden the opposing party. 2. A lawyer should comply fully with reasonable discovery requests and should not countenance obstructive or evasive tactics.

To this end, a lawyer should: a. Exchange information voluntarily, when practical, without formal discovery. b. Upon request, produce all responsive documents, and produce them as kept in the ordinary course of business or organize and label them to correspond with the categories in the request. c. A lawyer should stipulate to matters that are undisputed or where no genuine basis for objection exists. d. A lawyer should make reasonable efforts to conduct all discovery by agreement. e. A lawyer should not use discovery or its scheduling as a means of harassing opposing counsel or a party.

C. Case Management and Court Filings 1.

A lawyer should, when practical, consult opposing counsel before scheduling hearings and depositions to avoid conflicts. 2. A lawyer should avoid unnecessary delays. To this end, a lawyer should: a. Give notice of cancellation of depositions and hearings at the earliest possible time. b. Submit proposed orders promptly to opposing counsel and attempt to reconcile differences before presenting them to the court. c. Respond promptly to proposed orders submitted by opposing counsel. d. A lawyer drafting a proposed order should reflect clearly and accurately the ruling of the court and nothing more. e. A lawyer should serve copies of all briefs on opposing counsel at the time they are filed. f. A lawyer should not take a default judgment without first giving reasonable notice to opposing counsel or an unrepresented opposing party, and should agree to set aside such a judgment when reasonable cause exists and the client consents. g. A lawyer should grant reasonable extensions of time to opposing counsel where such extensions will not materially prejudice the client. h. A lawyer should not attempt to obtain an advantage through informal communication with the court.

VI.

PROFESSIONAL CONDUCT IN TRANSACTIONS A.

Understanding Client Goals and Authority 1. A lawyer should determine the sophistication, goals, and demands of the client before undertaking representation in a transaction. 2. A lawyer should ascertain and respect the scope of negotiating authority granted by the client.

B. Conduct in Negotiation and Drafting 1.

A lawyer should be guided by the client’s goals in completing a transaction. To this end, a lawyer should: a. Use terms that are clear, concise, and practical in drafting documents. b. Not make an issue of matters of form when revising documents; pride of authorship in non-substantive matters only causes delay and cost. 2. A lawyer should not seek tactical advantage by delaying negotiations until the last minute.

Negotiation and closing should, whenever possible, be treated as distinct activities. 3. A lawyer should not use the threat of legal proceedings as a means of obtaining an unjustified advantage for a client. 4.

When a lawyer requires an opinion letter from another lawyer as part of a transaction, the opinion should address only the matters requested, with any reservations clearly stated. APPENDIX D.1 PLAN FOR ALTERNATIVE DISPUTE RESOLUTION IN THE UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF TENNESSEE PLAN FOR ALTERNATIVE DISPUTE RESOLUTION in the UNITED STATES DISTRICT COURT WESTERN DISTRICT OF TENNESSEE Approved: March 1, 2014 Effective: September 1, 2014 Revised: April 1, 2016 SECTION 1 – INTRODUCTION AND AUTHORITY