Local Rule 6
 
RULE 6. PROCEDURES FOR FILING DOCUMENTS
6.1 Scope of Electronic Filing ( 5005-4)

a.  Electronic Filing Required 

All pleadings and documents filed with the Court  must be filed electronically - except as expressly provided below in 6.1(b).
A computer terminal is available in the Customer Service area - Room 450 - of the Clerk's Office for electronic filing by Filing Users.

b.  Pro Se Filing 

Parties without legal representation (pro se debtors) are not required to file pleadings and other papers in a case electronically, but must adhere to the following requirements:
1.  All petitions must be typewritten;
2.  All petitions must include the telephone number of the pro se debtor;
3.  All petitions, statements of affairs and schedules must:
      A.  be filed within fourteen (14) days of their execution; or
      B.  a properly executed amendment must be filed indicating the changes - if
      any - that have occurred between the date of execution and the date of filing;
4.  An original of the petition, lists, schedules and statements under the selected chapter of the Bankruptcy Code must be filed; and
5.  A matrix of creditors in the form prescribed by the Clerk must be filed.

          c.  Creditor Filing (Amended January 24, 2006)
         Proofs of Claim, Assignments/Transfer of Claims, Withdrawals of Claim, Reaffirmation    Agreements and Requests for Notice filed by a creditor or other filer shall be filed electronically if the creditor or other filer files more than 25 of those documents within a one year period.  See 6.2(b)
6.2 Eligibility, Registration and Passwords for Electronic Filing (5005-4), (3001-1), (9076-1), (9022-1), (9011-3), (9010-1)

a.  Eligibility  

Attorneys admitted to the bar of this Court - including those admitted pro hac vice - private trustees, U.S. trustees and their assistants, and others as the Court deems appropriate, may register as Filing Users of the Court's Electronic Filing System (or Electronic Case Filing System - ECF). See the application form at Local Form D.

b.  Creditors Not Represented  

Creditors who are not represented by counsel may register as Filing Users of the Court's electronic filing system for the sole purpose of filing claims, notice of transferred claims, reaffirmation agreements, requests to receive notices and withdrawal of claims. See Local Form C

c.  Consent to Electronic Notice and Service 

Issuance of a password granting access to the Court's Electronic Filing System constitutes express consent by the Filing User to electronic notice and service, except with regard to service of a summons and complaint under Fed.R.Bankr.P. 7004. Consent to electronic notice applies to notice of the entry of an order or judgment under Fed.R.Bankr.P. 9022. 

d.  Duty to Protect Electronic Filing Password  

Upon completion of the application to register as a Filing User, the Court will e-mail a log-in name and unique password for use exclusively by the Filing User and his/her designee. Filing Users agree to protect the security of their passwords and immediately notify the Clerk if they learn that their passwords have been compromised. Filing Users may be subject to sanctions for failure to adequately protect their passwords.

e. Maintenance of Email Addresses  

At all times, Filing Users must maintain their current email addresses in their ECF Account.

6.3

Consequences of Electronic Filing  (5005-4), (9006-1)

a.  What Constitutes "Filing" 

Electronic transmission of a document to the Electronic Filing System consistent with these rules, together with the transmission of a Notice of Electronic Filing from the Court, constitutes filing of the document and entry of the document on the docket.

b.  What Constitutes the Official Record 

When a document has been filed electronically, the official record is the electronic recording of the document as stored by the Court. The filing party is bound by the document as filed.

c.  Calculating Date & Time of Filing  

Except for pro se filings, a document filed electronically is deemed filed at the date and time stated on the Notice of Electronic Filing from the Court.

d.  Deadlines  

Filing a document electronically does not alter the filing deadline for that document. Filing must be completed before midnight (12:00 a.m.), Eastern Standard Time, in order to be considered timely filed that day.

6.4 Entry of Court Orders  ( 5091-1), (5003-1), (9021-1), (9021-2)

a.  Entry on the Docket  

All orders, decrees, judgments and proceedings of the Court will be filed in accordance with these rules, which will constitute entry on the docket. All signed orders will be filed electronically by the Court or court personnel.

b.  Effect of Electronically Signed Orders 

Any Order entered electronically with a representation of the Judge's signature has the same force and effect as if the Judge had affixed the Judge's signature to a paper copy of the Order.

6.5 Attachments  ( 5005-1), (9004-1)

a.  Requirements 

All attachments must be filed in electronic form unless the Court permits otherwise.

b.  Attachments in Excess of 40 Pages 

For attachments in excess of 40 pages in length, a Filing User shall submit only those excerpts of the referenced documents that are directly germane to the matter under consideration by the Court.

c.  Excerpted Material

Excerpted material must be clearly and prominently identified as such. Filing Users who file excerpts of attachments under this rule do so without prejudice to their right to timely file additional excerpts or the complete document.

d.  Response to Excerpted Material 

Responding parties may timely file additional excerpts or the complete document that they believe are directly germane.

e.  Request for Complete Attachments 

Parties to a case or adversary proceeding may request Filing Users who file an excerpt to provide a complete copy of the attachment within seven (7) days of receipt of the request.

6.6 Retention Requirements for Documents Requiring an Original Signature ( 9011-1)

a.  Electronically filed documents that require original signatures - other than that of the Filing User - must be maintained in paper form by the Filing User for 2 years following the expiration of all time periods for appeals.

b.  On request of the Court, the Filing User must provide original documents for review.

6.7 Electronic Signatures  ( 5005-4), (9011-3)

a.  What Constitutes an Electronic Signature 

The Filing User log-in and password required to submit documents to the Electronic Filing System serve as the Filing User's signature on all electronic documents filed with the Court.

b.  Signature for Purposes of Rule 9011 

The Filing User log-in and password required to submit documents to the Electronic Filing System also serve as a signature for the purposes of Fed.R.Bankr.P. 9011, the Local Rules of this Court, and any other purpose for which a signature is required in connection with proceedings before the Court.

c.  Notation of Electronic Filing  

Each document filed electronically must - if possible - indicate that it has been electronically filed.

d.  Requirements for Signature Block 

Electronically filed documents must include a signature block which includes:
1.  the name;
2.  address; and
3.  telephone number of the filer. 

e.  Requirement of "/S" to Denote Signature 

The name of the Filing User under whose log-in and password the document is submitted must be preceded by an "/s" and typed in the space where the signature would otherwise appear.

f.  Unauthorized Use of Filing User Password 

No Filing User or other person may knowingly permit or cause to permit a Filing User's password to be used by anyone other than an authorized agent of the Filing User.

g.  Documents Signed by Multiple Parties 

Documents requiring signatures of more than one party must be electronically filed either by:
1.  Submitting a scanned document containing all necessary signatures;
2.  Representing the consent of the other parties on the document;
3.  Identifying on the document the parties whose signatures are required and by the submission of a notice of endorsement by the other parties no later than three business days after filing; or
4.  In any other manner approved by the Court.

6.8 Service of Documents by Electronic Means ( 9036-1)

a. Requirement  to Transmit "Notice of Electronic Filing"  

Each entity electronically filing a pleading or other document must transmit a "Notice of Electronic Filing" to parties entitled to service or notice under the Federal Rules of Bankruptcy Procedure and the Local Rules.

b. Permissible Methods of Transmission of "Notice of Electronic Filing"  

The "Notice of Electronic Filing" must be transmitted by e-mail, hand, facsimile, or by first-class mail postage prepaid.

c.  What Constitutes Service or Notice 

Electronic transmission of the "Notice of Electronic Filing"  constitutes service or notice of the filed document.

d. Notice of Service for Non-Electronic Filing Users 

Parties not deemed to have consented to electronic notice or service are entitled to receive a paper copy of any electronically filed pleading or other document.

e.  Requirements for Service and Notice 

Service or notice must be made according to the Federal Rules of Bankruptcy Procedure and the Local Rules.

6.9

Notice of Court Orders and Judgments  ( 9022-1)

a.  Requirements for Notice and Service by Clerk 

Immediately upon the entry of an Order or Judgment in the Electronic Filing System, the Clerk will transmit to Filing Users in the case, in electronic form, a Notice of Electronic Filing which constitutes the notice required by Fed.R.Bankr.P. 9022.

b.  Notice and Service by Clerk for Non-Electronic Filing Users 

The Clerk must give notice to a person who has not consented to electronic service in paper form in accordance with the Federal Rules of Bankruptcy Procedure.

c.  Notices to Debtors

1.  The debtor's attorney is responsible for service of resulting Orders upon the debtor. Resulting Orders include the following:

A.  Orders from hearings;
B.  Orders related to motions and applications that were noticed for objection;
C.  Orders allowing payment of a filing fee in installments; and
D.  All other Orders from motions and applications that were considered by the Judge.

2.  The Clerk shall only serve Orders to a debtor that give notice required under Fed.R.Bankr.P. 2002, which includes but is not limited to the following:

A.  Orders setting a hearing;
B.  Orders of dismissal and conversion;
C.  Orders of discharge; and 
D.  Orders of confirmation.

6.10 Technical Failures
A Filing User whose filing is made untimely as the result of a technical failure may seek appropriate relief from the Court through a motion and order, except in the case of filing a Notice of Appeal or Dischargeability Complaint.
6.11 Public Access

a.  Electronic Access to Court Information 

Any person or organization - other than one registered as a Filing User under L.B.R. 6. 2  - may access the Electronic Filing System at the Court's Internet site at www.kywb.uscourts.gov after obtaining a PACER log-in and password.

b.  Limitations to Electronic Access to Court Information  

Those who have PACER access but who are not Filing Users may retrieve docket sheets and documents, but they may not file documents.

c.  Sealed Records 

Any person may apply by motion for an order limiting electronic access to or prohibiting the electronic filing of certain specifically-identified materials on the grounds that such material is:
1.  subject to privacy interests; and
2.  that electronic access or electronic filing in the action is likely to prejudice those privacy interests.

d.  Transcripts and Exhibits

All transcripts and exhibits must be filed electronically unless impracticable.  Filing Users shall contact the Court for alternate filing instructions for voluminous exhibits.

e.  Prohibition against Use of Information Inconsistent with Privacy 

Information posted on the System must not be downloaded for uses inconsistent with the privacy concerns of any person.

6.12 Matters That May Automatically Be Dismissed or Overruled  ( 9011-4), (1007-2), (5080-1)
The Clerk will dismiss or overrule any petition, complaint, motion, agreed order, or other paper - except reaffirmation agreements and proofs of claim - under Title 11, regardless of the Chapter under which it is filed, if it:

a.  Purports to place more than one entity or person (unless they are husband and wife) under the protection of Title 11;

b.  Is not accompanied by a filing fee or installment application;

c.  Is not properly signed;

d.  Is filed pro se by a corporation/partnership or other business entity - other than an individual conducting business as a sole proprietorship - See L.B.R. 3.4; or

e.  Fails to have a creditor database loaded.

6.13 Timely Filing from Date of Execution of Petition  (1002-1), (1007-1)
All petitions, statements of affairs and schedules must be:

a.  filed within fourteen days (14) days of their execution; or 

b.  a properly executed amendment must be filed indicating the changes, if any, that have occurred between the date of execution and the date of filing.

6.14 Electronic Availability of Case File Information/Protecting Personal or Sensitive Information
In order to promote electronic access to case files while also protecting personal privacy and other legitimate interests:

a.  the parties must not include - or must partially redact - all personal data identifiers including but not limited to the following from all pleadings filed with the Court, whether filed electronically or in paper:
1.  Social Security Numbers 
If an individual's social security number must be included in a pleading, only the last four digits of that number should be used, except for the Statement of Social Security Number Form which must be separately filed with the Court pursuant to Fed.R.Bankr.P. 1007 (f).

2.  Names of Minor Children
If the involvement of minor children must be mentioned, only the initials of that child should be used.

3.  Dates of Birth
If an individual's date of birth must be included in a pleading, only the year should be used.

4.  Financial Account Numbers
If financial account numbers are relevant, only the last four digits of those numbers should be used.

5.  Other Personal Data Identifiers
Filers should exercise caution when filing documents that include driver's license numbers, medical records - including treatment and diagnosis, employment history, individual financial information and proprietary or trade secret information.

b.  Sealed, Unredacted Documents 

A party wishing to file a document containing personal data identifiers may file either:
(1)  An unredacted document under seal. The sealed document must be retained by the Court as part of the record. The Court may still require the party to file a redacted copy for the public file; or
(2)  A reference list under seal. The reference list shall contain the complete personal identifiers and the redacted identifiers used in their place in the filing. All references in the case to the redacted identifiers included in the reference list will be construed to refer to the corresponding complete identifier. The reference list must be filed under seal, and may be amended as of right. It shall be retained by the Court as part of the record.

c.  Responsibility for Redacting Data

The responsibility for redacting personal data identifiers rests solely with counsel and the parties. 

d.  The Clerk will not review each pleading for compliance with this rule.

 

This page was last edited on 07/01/2008 at 10:54 AM .