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Rule 86 – Electronic Filing and Electronic Service

May 13, 2021 | Civil Procedure, Indiana

(A) Definitions.

(1) Case Management System (“CMS”). Case Management System is the system of networked software and hardware used by any Indiana court that may receive, organize, store, retrieve, transmit, and display all relevant documents in any case before it.
(2) Conventional Filing. Conventional Filing is the physical non-electronic presentation of documents to the clerk or court.
(3) Electronic Filing (“E-Filing”). E-Filing is a method of filing documents with the clerk of any Indiana court by electronic transmission utilizing the Indiana E-Filing System. E-Filing does not include transmission by facsimile or by email.
(4) E-Filing Manager (“EFM”). E-Filing Manager is the centralized entity approved by the Supreme Court that receives and transmits all E-Filing submissions between E-Filing Service Provider(s) and the appropriate Case Management System.
(5) E-Filing Service Provider (“EFSP”). E-Filing Service Provider is the organization and software selected by a User and approved by the Supreme Court to receive and transmit all E-Filing submissions between the User and the Indiana E-Filing System.
(6) Electronic Service (“E-Service”). E-Service is a method of serving documents by electronic transmission on any User in a case via the Indiana E-Filing System.
(7) Indiana E-Filing System (“IEFS”). Indiana E-Filing System is the system of networked hardware, software, and service providers approved by the Supreme Court for the filing and service of documents via the Internet, into the Case Management System(s) used by Indiana courts.
(8) Notice of Electronic Filing (“NEF”). Notice of Electronic Filing is the notice generated automatically when a document is submitted and transmitted through the Indiana E-Filing System, which sets forth the time of transmission, the name of the court, User, party or attorney transmitting the document, the title of the document, the type of document, and the name of the court, attorney, party, or other person meant to receive the Notice. The time noted in a Notice of Electronic Filing will be the time at the location of the court where the case is pending. A Notice of Electronic Filing will appear immediately on the User’s screen upon submission of the document for E-filing.
(9) Public Access Terminal. A Public Access Terminal is a publicly accessible computer provided by clerk or court that allows a member of the public to access the Indiana E-Filing System and public court records.
(10) User Agreement. A User Agreement is an agreement in a form approved by the Division of State Court Administration that establishes obligations and responsibilities of the User within the Indiana E-Filing System.
(11) User. User is a Registered User or Filing User.

(a) Filing User. Filing Users include court and clerk staff, unrepresented litigants, attorneys, or an agent whom an attorney has expressly designated to make a filing on the attorney’s behalf and who has an Indiana E-Filing System user ID, password, and limited authority to file documents electronically.
(b) Registered User. A Registered User is a person or entity with a user ID and password assigned by the Indiana E-Filing System or its designee who is authorized to use the Indiana E-Filing System for the electronic filing or service of documents.
(B) User Agreement Required. Every User must execute a User Agreement with one or more Electronic Filing Service Provider(s) before that User may utilize the Indiana E-Filing System.
(C) Commencement of an Action. An action must be commenced:

(1) by using the Indiana E-Filing System unless exempted by these rules;
(2) by paying the filing fee unless the fee is waived by an order of the court; and
(3) except for cases filed through CEFM, by filing the complaint or equivalent pleading and the required summons(es) in the form set out in Trial Rule 4(C).
(D) Electronic Filing of Documents.

(1) Unless otherwise permitted by these rules, all documents submitted for filing in courts identified in the E-Filing Implementation Schedule posted at http://courts.in.gov/efile (as updated from time to time) must be filed electronically with the clerk using the Indiana E-Filing System. The e-filing of documents shall be controlled by the case number in the Indiana Electronic Filing System designated by the User.
(2) Attorneys or unrepresented litigants who wish to be exempted from the requirement that they file electronically may file a petition for electronic filing exemption. The petition must be filed in each pending case to which these rules are applicable. The petition will be reviewed by the judicial officer assigned to that case and granted only upon a showing of good cause.
(E) Proof of Filing. Users should print or otherwise save each Notice of Electronic Filing as proof of E-Filing. Confirmation of E-Filing may also be made by referring to the Chronological Case Summary of the court in which the case is pending through the Case Management System of that court.
(F) Conventionally Filed Documents. Conventionally filed documents must be converted into an electronic record by the clerk or court. The filer must also conventionally serve these documents in accordance with these Rules and applicable Local Rule(s) and file a certificate of service. If the original documents cannot be converted into a legible electronic document, then a notation must be made in the Chronological Case Summary and the documents returned to the filer.
(G) Service of Pleading and Other Papers:

(1) Except as otherwise provided in this Rule, all process shall be served in accordance with Trial Rules 4 and 4.1 through 4.17.
(2) Issuance of Summons and Service of Initial Complaint or Equivalent Pleading.

(a) At the time the initial complaint or equivalent pleading is filed, the filer shall also file completed summons(es) designating the manner of service. The Clerk shall date, sign and seal the summons(es) and transmit the summons(es) to the filer for service.
(b) The filer shall serve the initial complaint or equivalent pleading and the summons upon all parties in the manner provided in Trial Rules 4.1 through 4.14.
(c) In the event of service by registered or certified mail, or other public means by which a written acknowledgement of receipt may be requested and obtained, or first class mail (as provided in Trial Rule 4.1(B) ) the filer shall promptly transmit to the Clerk a dated and signed Certificate of Issuance of Summons specifying the method of service with respect to each party, the date of mailing, address of each party, and tracking or identifying number for each summons.
(d) All returns regarding service shall be directed and made to the Clerk.

(i) If service was issued under Trial Rule 4.1(A)(1), the filer shall note the case number on each return receipt or equivalent form. If service by mailing or other public means is returned without acceptance, the Clerk shall reissue the summons(es) and complaint or other equivalent pleading for services as requested by the person seeking service.
(ii) If service was made by the filer personally delivering the summons and complaint or equivalent pleading to a party under Trial Rule 4.1(A)(2), the served party shall execute an acknowledgment of service that the filer shall promptly transmit to the Clerk. If the served party fails to execute an acknowledgement of service, the filer shall promptly execute and transmit a dated and signed Affidavit of Service to the Clerk.
(iii) If service was made by the filer leaving a copy of the summons and complaint or equivalent pleading at the dwelling house or usual place of abode of the party under Trial Rule 4.1(A)(3), the filer shall complete service as required by Trial Rule 4.1(B) and promptly transmit a dated and signed Affidavit of Service to the Clerk.
(iv) If service was made by Sheriff or other authorized police officer, constable or appointed process server, the person making service shall promptly make his or her return upon or attach it to a copy of the summons and deliver it to the Clerk, all as provided in Trial Rule 4.15(A).
(e) For service by publication the filer, in addition to filing the complaint or equivalent pleading and summons(es) designating service by publication, shall also transmit an affidavit for service by publication to the Clerk as provided in Trial Rule 4.13. The Clerk shall transmit to the filer dated, signed and sealed summons(es) by publication. The filer shall deliver the summons(es) to the publication authorized by Trial Rule 4.13(C), with instructions that after the completion of the period of publication the return shall be sent to the Clerk.
(3) Service of Subsequent Pleadings

(a) Service on Registered Users. Registered Users must serve all documents in a case upon every other party who is a Registered User through E-Service using the Indiana E-Filing System. E-Service has the same legal effect as service of an original paper document. E-Service of a document through the Indiana E-Filing System is deemed complete upon transmission, as confirmed by the Notice of Electronic Filing associated with the document. Exempt parties must serve all documents in a case as provided by Trial Rules 4 or 5.
(b) Service on Others. Trial Rules 4 and 5 shall govern service of documents on attorneys of record and on unrepresented parties who are not Registered Users.
(H) Format Requirements.

(1) Documents filed electronically must be formatted in conformity with this Rule and the requirements of the Indiana E-Filing System.
(2) All documents must be submitted in the manner required by the E-Filing Service Provider. The Indiana E-Filing System may be accessed via any Internet connection available to the Registered User and at Public Access Terminals located in the offices of the county clerk.
(I) Signature.

(1) All documents electronically filed that require a signature must include a person’s signature using one of the following methods:

(a) a graphic image of a handwritten signature, including an actual signature on a scanned document; or
(b) the indicator “/s/” followed by the person’s name.
(2) A document that is signed and E-filed must be subject to the terms and provisions of Trial Rule 11(A). A Registered User may include the Signature of other attorneys in documents E-filed with the court but in doing so represents to the court that any such Signature is authorized.
(J) Time and Effect. Subject to payment of all applicable fees pursuant to Section (C), a document is considered E-filed with the court on the date and time reflected in the Notice of Electronic Filing associated with the document. E-Filing must be completed before midnight to be considered filed that day, and compliance with filing deadlines is determined in accordance with the time zone in the location of the court where the case is filed.
E-Filing under these rules shall be available 24 hours a day, except for times of required maintenance.
(K) Official Court Record. The electronic version of a document filed with or generated by the court under this rule is an official court record.
(L) Non-conforming Documents.

(1) The clerk may reject an e-filing only when:

(a) the applicable filing fee has not been paid; or
(b) the case number does not exist.
(2) If an e-filed document cannot be electronically processed, the clerk shall return it to the User for correction through the IEFS. The User may cure the defect within seventy-two (72) hours from the time of return as set out in the notice of return.
(3) In all other cases where an e-filed document does not conform to the IEFS or other applicable rules, the clerk must process the e-filed document and may direct the non-conforming document to the intended E-Filing court. A court that receives a non-conforming document shall:

(a) strike the non-conforming document; or
(b) issue an appropriate order. If the court’s order allows a party to cure a defective E-Filing, the party has seventy-two (72) hours to cure the defect.
(4) In the event a user submits a cured document within seventy-two (72) hours, excluding days the court is closed, the document is timely filed.
(M) Certain Court Records Excluded From Public Access.

(1) Procedures for Excluding Court Records From Public Access. Any User filing a Court Record that is to be excluded from Public Access must do so in accordance with the following procedures:

(a) Notice to maintain exclusion from Public Access.

(i) In cases where the Court Record is excluded from Public Access pursuant to Administrative Rule 9(G)(1) (b,c), 9(G)(2), 9(G)(3), or 9(G)(4), the party or person submitting the confidential record must provide the separate written notice required by Administrative Rule 9(G)(5)(a) identifying the specific 9(G)(2) or 9(G)(3) ground(s) upon which exclusion is based. (See Administrative Rule 9(G) Forms 9 -G1 and 9-G2.)
(ii) In cases where all Court Records are excluded from Public Access in accordance with Administrative Rule 9(G)(1)(a), no notice of exclusion from Public Access is required.
(b) Public Access and Non-Public Access Versions. Where only a portion of the Court Record has been excluded from Public Access pursuant to Administrative Rule 9(G)(2) or 9(G)(3), the following requirements apply:

(i) Public Access Version.

(a) If a document contains confidential Court Records to be excluded from Public Access, that confidential Court Record shall be omitted or redacted from this version.
(b) The omission or redaction shall be indicated at the place it occurs in the Public Access version. If multiple pages are omitted, a separate place keeper insert must be inserted for each omitted page to keep PDF page numbering consistent throughout.
(c) If the entire document is to be excluded from Public Access, the Administrative Rule 9(G)(5)(a) Notice filed with the document will serve as the Public Access Version.
(ii) Non-Public Access Version.

(a) If the omitted or redacted Court Record is not necessary to the disposition of the case, the excluded Court Record need not be filed or tendered in any form and only the Public Access version is required. The Administrative Rule 9(G)(5)(a) Notice shall indicate this fact. (See Administrative Rule 9(G) Form 9 -G3.)
(b) If the omitted or redacted Court Record is necessary to the disposition of the case, the excluded Court Record must be separately filed or tendered as follows.

(1) The first page of the Non-Public Access Version shall be conspicuously marked “Not for Public Access” or “Confidential,” with the caption and number of the case clearly designated.
(2) The separately filed Non-Public Access version shall consist of a complete, consecutively-paginated replication including both the Public Access material and the Non-Public Access material.
(3) Use of green paper is abolished for E-Filing. Pages in the Non-Public Access version containing Court Records that are excluded from Public Access shall instead be identified with a header, label, or stamp that states, “CONFIDENTIAL PER A.R. 9(G) ” or “EXCLUDED FROM PUBLIC ACCESS PER A.R. 9(G).”
(iii) The requirements in Rule 86(M)(1)(b) do not apply to cases in which all Court Records are excluded from Public Access pursuant to Administrative Rule 9(G)(1).
(2) E-filing document security codes settings.

(a) Where only a portion of the Court Record has been excluded from Public Access pursuant to Administrative Rule 9(G)(2) or 9(G)(3), the e-filing document security codes setting for the Public Access Version shall be “Public Document.”
(b) Where only a portion of the Court Record has been excluded from Public Access pursuant to Administrative Rule 9(G)(2) or 9(G)(3), the e-filing document security codes setting for the Non-Public Access Version shall be “Confidential document under Admin Rule 9.”
(c) In cases in which all Court Records are excluded from Public Access pursuant to Administrative Rule 9(G)(1), the e-filing document security codes setting shall be “Confidential document under Admin Rule 9.”
(N) Inability to E-File.

(1) Indiana E-Filing System Failures.

(a) The rights of the parties shall not be affected by an Indiana E-Filing System failure.
(b) When E-Filing is prevented by an Indiana E-Filing System failure, a User or party may revert to conventional filing.
(c) With the exception of deadlines that by law cannot be extended, when E-Filing is prevented by an Indiana E-Filing System failure, the time allowed for the filing of any document otherwise due at the time of the Indiana E-Filing System failure must be extended by one day for each day on which such failure occurs, unless otherwise ordered by the court.
(d) Upon motion and a showing of an Indiana E-Filing System failure the court must enter an order permitting the document to be considered timely filed and may modify responsive deadlines accordingly.
(2) Other Failures Not Caused by the User Who Was Adversely Affected. When E-Filing is prevented by any other circumstance not caused by the User who was adversely affected, the User may bring such circumstances to the attention of the court and request relief as provided in Trial Rule 6(B), or the User may revert to conventional filing.
(O) Appearance Form in E-Filed Cases.

In all e-filed cases the parties shall file an appearance as provided in Trial Rule 3.1, with the following modifications:

(1) The appearance form shall omit the statement contained in Trial Rule 3.1(A)(4) regarding acceptance of service by FAX or by e-mail.
(2) The appearance form shall contain:

(a) Certification that the contact information listed on the Indiana Supreme Court Roll of Attorneys for each attorney is current and accurate as of the date the appearance is filed;
(b) Acknowledgment that orders, opinions, and notices, and all documents served under Trial Rule 86(G) will be sent to the attorney at the email address(es) on the Roll of Attorneys regardless of other contact information supplied by the attorney; and
(c) Acknowledgment that each attorney listed on the appearance is solely responsible for keeping his/her Roll of Attorneys contact information accurate per Ind. Admis. Disc. R. 2(A).

(See Form 86-1.)

Ind. R. Civ. P. 86