NEW YORK STATE COURTS ELECTRONIC FILING SYSTEM

USER’S MANUAL FOR SUPREME COURT

AND COURT OF CLAIMS CASES

PART II HOW THE NYSCEF SOFTWARE WORKS

ELECTRONIC FILING RESOURCE CENTER

646-386-3033 efile@courts.state.ny.us Jeffrey Carucci Statewide Coordinator for Electronic Filing

Table of Contents

I. IN GENERAL Page 3 II. HOW TO ACCESS THE NYSCEF SYSTEM Page 4

III. HOW TO LOG IN Page 6 IV. HOW A USER CAN CHANGE PERSONAL INFORMATION Page 9 V. HOW TO START A NEW CASE Page 10

VI. SERVICE ON AND CONSENT BY THE OTHER SIDE Page 17 VII. INVOKING NYSCEF AT OTHER STAGES IN A CASE Page 18

VIII. CONSENT OF ALL PARTIES OR FEWER THAN ALL Page 18 IX. HOW TO FILE MOTIONS AND OTHER SUBSEQUENT PAPERS Page 19 X. CORRECTIONS Page 23

XI. SERVICE OF PAPERS IN EXISTING NYSCEF CASES Page 23 XII. CASE SEARCH/DOCKET REVIEW Page 24

XIII. FURTHER INFORMATION Page 27

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NEW YORK STATE COURTS ELECTRONIC FILING SYSTEM

USER’S MANUAL

FOR SUPREME COURT AND COURT OF CLAIMS CASES

PART II

HOW THE NYSCEF SOFTWARE WORKS

I. IN GENERAL

Using the software of the New York State Courts Electronic Filing System (“the NYSCEF system” or “NYSCEF”), an E-Filing User (hereafter “the Filer” or “the User”) may commence, or file subsequent documents in, commercial, tort and tax certiorari cases in the Supreme Court in 15 authorized counties; cases in the Court of Claims; and in any case type in Broome County and Erie County Supreme Courts as authorized by the Administrative Judge of the court. Part I of this User’s Manual provides an overview of the NYSCEF e-filing program. This Part II explains in detail how the NYSCEF software works. There is a distinct section of the software designed for the bulk filing of tax certiorari cases and this is discussed in Part III.

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II. HOW TO ACCESS THE NYSCEF SYSTEM

The address of the NYSCEF system is www.nycourts.gov/efile. This is the homepage:

Screen 1 At the top are five buttons labeled “Home,” “User’s Manual and FAQ”, “Rules” (which also includes relevant legislation), “Forms” and “Contact Us.” These links appear on all NYSCEF webpages. The home page also provides announcements about recent developments regarding enhancements to NYSCEF.

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The NYSCEF system consists of a Practice System and the NYSCEF or Live System. As these names suggest, the latter consists of real cases and the former consists of fictitious ones created by the User in the course of practicing with the software. The two sectors of the NYSCEF software are identical in appearance and function except that, in order to prevent errors in the Live System, each carries an identifier indicating to the User which sector he or she is in at the moment and each sector is entered using a separate ID and Password. The Practice System requires an ID and Password, as opposed to allowing practice on a freer basis, in order that the person practicing be able to receive practice e-mail notifications from NYSCEF. Clicking on the link on Screen 1 leads to an entry page, which is Screen 2 (here for the Practice System).

Screen 2

This entry screen provides options for entry by a public user (someone who is not registered counsel or agent on, nor party to, a case) seeking to make an inquiry or by a User. By clicking on “Public Inquiry,” one can inquire about a particular case (except for any portions thereof that may have been marked “secure” (see below) or sealed by court order); an ID and Password are not required. An attorney on a case would select “Filing User Entry” to commence a case, file documents, or take other action.

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III. HOW TO LOG IN

If the User selects “E-Filing User Entry,” a screen opens advising the User that he or she is entering a secure area:

Screen 3

The User clicks on “OK” and a screen opens that calls for the User to log in (Screen 4).

Screen 4

Logging in leads to a screen (Screen 5) that requires the User to designate whether he or she wishes to file or access the docket in a matter in the Supreme Court or Court of Claims or the Surrogate’s Court (we are concerned here with Supreme Court/Court of Claims; there is a separate Manual for Surrogate’s Court):

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Screen 5

Once the User makes a selection, a function screen (“Main Menu”) (Screen 6) opens that allows the User to undertake various tasks. A tab at the top left indicates that the User is in the Practice System.

Screen 6

In the top half of this screen, the “To Do List” is primarily for the County Clerk or the Court. In the bottom half, under “User Options,” “Logout” is self-explanatory. Of the remaining three functions (setting aside “Tax Certiorari Reports”):

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- - “File a Document/Consent” allows a User to start a new case, file a document in an existing case, or consent to e-filing in a particular case (consent is required by the NYSCEF Rules).

- - “Case/Claim Inquiry” allows the User to search the NYSCEF database for a case or claim or a document.

- - “Modify Profile” allows the User to update his/her User information.

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IV. HOW A USER CAN CHANGE PERSONAL INFORMATION (PASSWORD, E-MAIL ADDRESS, ADDRESS, OR

PHONE OR FAX NUMBER) When a User logs into the system for the first time, he or she will use a Password that was assigned arbitrarily by the court system and that may be difficult to remember or otherwise be inconvenient. The User therefore may wish to change the Password. This can be done easily and as often as necessary. The User goes to “Modify Profile” on the tab across the top of the NYSCEF pages or on the “Main Menu” screen (Screen 6). This opens up an “Edit My Profile” screen (Screen 7).

Screen 7

From here the User can change his or her Password, as well as his/her address, phone or fax number, or additional or optional e-mail addresses, which is done by filling out the relevant fields and clicking “Update.” It is very important to note the following, which is highlighted on Screen 7: The first e-mail address listed there is the E-Mail Service Address of Record or “Primary Address,” which is

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the address used for the effectuation of electronic service upon that User through NYSCEF pursuant to the Rules. Other e-mail addresses listed provide for additional, optional notification. An attorney might wish to designate as an additional address that of the managing attorney or clerk, a paralegal or another staff person in his/her office. The designee in turn can establish e-mail “rules” or “filtering” that can automatically route notices in particular cases to those in the firm who are working on each case. The Primary Address is listed by a User in his/her NYSCEF Registration Form and is recorded as such in NYSCEF for purposes of service. The User will note that the Primary Address cannot be changed on Screen 7, unlike the optional addresses. If the Primary Address must be changed, the User must contact the NYSCEF Resource Center at e-file@courts.state.ny.us so that changes can be made in system records to assure accurate service thereafter. There is a form to request a change of Primary Address posted in the “Forms” section of the site. The additional (optional) addresses can be changed whenever necessary right here by the User, who can simply type in a new address. E-mail addresses may have to be changed when attorneys or staff members change firms or for other reasons.

V. HOW TO START A NEW CASE

To start a new case, the User should click on the “File A Document/Consent” link on the entry page (Main Menu (Screen 6)), which brings up a filing screen (Screen 8).

Screen 8

From here, as noted above, the User can file to start a new case or file a document in a pending NYSCEF matter (as well as consent or search for a case). To file to start a new case, the User must click on the button next to “File to start a new action or proceeding” and select the case type from a drop-down box. Several of the choices are of general applicability, while others are narrower. (Some of the choices may have no relevance in certain courts.) When these selections are made, the User should hit “Continue” in the lower right, which brings up a screen (Screen 9) that allows for filing of an application for a claim or index number.

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Screen 9

The User should designate from a drop-down box the Court in which the action is to be commenced and fill in information about the parties as it appears in the caption of the commencement papers. To add more parties, go to the box in the lower left. All parties must be listed in full since this screen creates the NYSCEF case caption (“et al.” or “et ano.” must not be used). Click “Continue.” The User will be asked to confirm or correct the caption (Screen 10).

Screen 10

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After making changes, if any, by means of the “Change” or “Delete” buttons, and adding more parties if needed, the User should click “Continue.” The document filing screen appears next (Screen 11).

Screen 11

Here the Filer - - designates the document type from a drop-down menu

- - identifies it as an exhibit where that is the fact (done by clicking on the “Exhibit” box)

- - attaches the document in PDF form by listing the file path or browsing to locate it on the User’s hard drive or floppy drive

- - describes the document (optional) and - - designates it “Secure” or not (required field) There is an option to add more documents. A help function explains the “Secure Document” status option. If the User designates a document as “Secure” when filing it, because, for example, it contains social security numbers, it will be viewable on-line only to attorneys of record for consenting NYSCEF parties to the case or self-represented parties. A public user may view it (if it is not sealed) at the courthouse. Once all of the previous actions have been completed, the User should scroll down and click “Continue.”

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A screen will appear next requesting selection of a method to pay the filing fee for the new case (Screen 12):

Screen 12

If the Filer chooses to pay by credit (or debit) card, he/she must fill in the credit or debit card information (Mastercard or Visa) that is requested on the screen. The Filer may also pay at the County Clerk’s Office or the Court of Claims in person or by messenger, but in that event the document in question will not be considered “filed” under the Rules until payment is presented. If the particular County Clerk allows attorneys to maintain standing accounts against which fees may be charged, counsel can submit with the papers being filed the appropriate form authorizing a deduction (if any form is required) and select the “Pay at the County Clerk’s Office” option. If the User believes that no fee is required (e.g., the filer is a State agency), an appropriate letter must be placed in the e-file. If a fee has already been paid, the date thereof should be entered. An explanation can be included in the “Comments” area. A confirmation will follow on screen (Screen 13).

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Screen 13

An e-mail message of receipt will be sent (Screen 14).

Screen 14

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The County Clerk in a Supreme Court case or the Court in a Court of Claims matter will review the document and credit/debit card authorization and will inform the User if any corrections are needed. Otherwise, the County Clerk or Court of Claims will charge the credit/debit card or standing account where applicable and transmit an index or claim number to the User in an e-mail notification (Screen 15):

Screen 15

If “Pay at the County Clerk’s Office” (which also covers payment at the Court of Claims) is selected in a situation in which a standing account is not to be charged, the index/claim number will be issued once the payment is submitted. The initiating papers must be served pursuant to the Civil Practice Law and Rules together with a Notice Regarding Availability of Electronic Filing (unless the defendant/respondent is a registered NYSCEF User, consents to the use of e-filing for the case, and agrees to accept electronic service of these initiating documents). Consent is required of all parties. See below.

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The filing by the User constitutes consent under the Rules, which is confirmed by the service of the Notice Regarding Availability, and that consent is automatically reflected in NYSCEF.

Screen 16

The defendant/respondent Filer must print out the on-line Consent Form, sign it, and retain the original in the attorney’s file. Once the filer has scrolled to the bottom of the page and clicked on “Record Consent of the Selected Parties,” the system will ask the Filer to confirm an appearance for the indicated party (Screen No. 17).

Screen 17

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When this is done, by clicking “Continue,” the system will transmit an e-mail to the User confirming receipt of the consent (Screen No. 18) and the name of the User will be recorded next to the party or parties that correspond to the selection(s) made on the previous page by clicking on the box.

Screen 18

VI. SERVICE ON AND CONSENT BY THE OTHER SIDE

The defendant/respondent must also consent in order for the matter to proceed as a NYSCEF case (although some Courts may allow a matter to so proceed between or among consenting parties though fewer than all consent). Consent should be given within ten days after service of the initiating papers and the Notice Regarding Availability of Electronic Filing. Consent to e-filing does not constitute an appearance in the case. The defendant/respondent

- - can consent by (i) printing out a Consent Form from the on-line Forms, signing it, filing and serving a copy and retaining the original, or (ii) consenting on-line if a registered User (a hard copy must be printed out, signed and retained).

- - should immediately apply for an ID and Password, if needed.

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- - if not already done, must go on-line and consent in the NYSCEF system (necessary for the system to permit subsequent filings even if a hard copy consent was signed and served).

If the defendant/respondent, without having consented in the system, attempts to file a document in a NYSCEF case in which an index/claim number has been issued, the system will not recognize the User and will transmit a notice prompting the User to consent. To consent, the defendant/respondent User goes to the “Main Menu” (Screen 6), clicks to “File a Document/Consent,” chooses “Consent to Electronic Filing for an Existing Case/Claim,” indicating in the appropriate spaces the index or claim number of the matter in question and the county. The User should then select “Continue” and note on the following screen (Screen 16) the party for which he/she appears. If a party declines to consent, he or she should, within ten days from service of the Notice of Availability of Electronic Filing, so indicate in a writing served on all parties and filed with the court so that the parties and the court will be aware of the NYSCEF status of the case.

VII. INVOKING NYSCEF AT OTHER STAGES IN A CASE

If a case is not commenced electronically using the NYSCEF system as just described, NYSCEF may be invoked for the first time at other stages in the life of the case. First, the plaintiff/petitioner/claimant can commence a case in hard-copy and, if he/she wishes that case to proceed thereafter as a NYSCEF matter, the Notice Regarding Availability of Electronic Filing must be served on the defendant/respondent with the commencement papers in hard copy form. Second, any party to a hard-copy case can invoke NYSCEF at any other time by serving the Notice Regarding Availability on the other side. The parties can also stipulate and consent by using a form available in the “Forms” section. In these situations, the attorney(s) should contact the court in question before endeavoring to file papers with the NYSCEF system. The court staff will have to open the case file in the NYSCEF system before any party can take any action in it. Once court staff have opened the case, the attorneys should promptly obtain User IDs and Passwords if they lack them and then record consent on-line.

VIII. CONSENT OF ALL PARTIES OR FEWER THAN ALL

The NYSCEF Rules provide that either (i) all parties to a case must consent to e-filing in order for the matter to move forward as a NYSCEF case (although a matter commenced by filing with NYSCEF remains validly commenced even if no other party consents) or (ii) if fewer than all consent, the case shall proceed as a NYSCEF matter only between or among consenting parties. In the latter situation, service on and by non-consenting parties must be made in hard-copy form. For administrative reasons, some courts may require that consent be given by all existing parties to the case.

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IX. HOW TO FILE MOTIONS AND OTHER SUBSEQUENT PAPERS Once a case file has been validly opened in NYSCEF and the necessary consents recorded, a consenting party can e-file documents to the electronic file at any time. If a party seeks to file a motion or other document in an existing NYSCEF case, the Filer should, on Screen No. 9 (reached from the “Main Menu” or the “File Document” tab at the top), select “File to an existing case/claim” and list the index or claim number and county involved. The document filing screen (Screen No. 11) will open next. The Filer should select the document type from the drop-down menu as described earlier. If the document being filed concerns a motion, the Filer should record the motion number in the field provided on the following page as a “pop-up” will direct. See Screen 19.

Screen 19

Each separate motion is given an identifying Motion Number and all papers relating to that motion should be tagged with that Number. In some counties each cross-motion is independently numbered in this way as well. The Numbers are sequential, given in chronological order; the last Number used can be determined by a quick check of the e-docket for the case. The motion number and the nature of the relief being sought should be designated on a screen (Screen 20).

Screen 20

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Next, if the document being filed is a motion/cross-motion or other fee document, the User should complete a payment screen with regard to the required fee (Screen 12). The Filer should mark the document as an exhibit if appropriate, attach the document (file path or “Browse” to a place on a drive), describe the document (optional), and designate it as “Secure” if appropriate (required field). Click “Continue” at the bottom to transmit the document. A notice of receipt will appear on screen (Screen 21):

Screen 21

A confirmation of receipt of the motion or other document by the NYSCEF site will be sent by e-mail (Screen 22):

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Screen 22

The acknowledgment and e-mail will each list the names of all participating NYSCEF counsel or self-represented parties on the case to whom the e-mail is being sent. See below as to service. If the document is a motion or other fee-bearing item, once the County Clerk or Court Clerk reviews it and processes the fee, an e-mail confirmation to that effect will be transmitted (Screen 23).

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Screen 23

The Filer can file more than one document at a time, using the filing steps explained above (e.g., notice of motion, affidavit, exhibits, and memo of law). All documents are “Main Documents” except exhibits. The NYSCEF Rules allow the court to accept in hard copy odd-size or otherwise unusual exhibits; the Filer should contact the court. The Filer can file with a motion or other document a Request for Judicial Intervention, which, of course, is obligatory on a motion if not previously filed in the case (there is only one RJI per case). The RJI also requires payment of a fee ($95). Two fee items can be transmitted at the same time (the system will calculate the total due). The filing would then be uploaded as explained earlier. As for filing of a non-fee item regarding a motion or cross-motion (e.g., opposition to a motion), the User should file the document through the document filing page (Screen 11) and tag the document with the motion/cross-motion number to which it relates, as explained above. The tagging of motion/cross-motion documents permits any Filer later to sort easily and consult all documents filed in connection with a particular motion or cross-motion.

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X. CORRECTIONS

If the County Clerk/Court of Claims detects a problem with a credit/debit card payment, an e-mail notice may be sent to the filer and the payment may not be processed. If the County Clerk or the Court Clerk identifies a problem with the documents transmitted (e.g., the caption on the amended complaint does not match the caption inputted into NYSCEF), the Clerk may send a notice. The notice will inform the party that the documents are being “returned for correction,” indicating whether or not the fee has been accepted. Notice will be sent to the Filing User by e-mail and in some instances a notice will also appear on the attorney’s “To Do List.” The “To Do List” is primarily for County Clerk and Court staff. For attorneys it has one function: it informs counsel when certain documents are returned for correction. If a document is “returned for correction,” a notice as to its “returned” status will be recorded in the docket so that all parties are clear about the status of all documents. Also, the “Document Detail” for that document will show the reason why the Clerk “returned” the document. A document that is marked as “returned for correction” will thereafter not be accessible in the e-docket. When originally filed, however, its filing will generate an e-mail notification to all parties that will contain a link to the document as filed.

XI. SERVICE OF PAPERS IN EXISTING NYSCEF CASES

Once a document has been transmitted to the NYSCEF site in an existing NYSCEF case, an acknowledgment of receipt will be displayed on screen and an e-mail notice confirming the filing will be sent immediately and automatically to the Filing User and all consenting NYSCEF users by the system, as indicated above. This acknowledgment and notification identify all participating NYSCEF attorneys or self-represented parties on the case to whom the notice is being sent. The NYSCEF Rules provide that the transmission of this notification constitutes service of the document. The on-screen acknowledgment and the e-mail will record the persons being served thereby at their Primary Addresses and NYSCEF will record proof of this transmission in the case file. An affidavit of service need not be filed. Thus, an attorney serves an interlocutory document on all NYSCEF participants in the case simply by posting the document to the NYSCEF system, which immediately and automatically causes e-service thereof to occur. Under the Rules, service will not be effective if the filing party learns that the transmission did not reach the address of the person to be served. An attorney who wishes to do so may serve a document in an existing NYSCEF case by hand or other means authorized by the CPLR. The attorney must file that document on line thereafter and include with the document in the traditional fashion an affidavit/affirmation of service. Upon transmission, the NYSCEF system will send the notice confirming receipt of the document as just described, but service in that situation shall be the CPLR service relied upon by the attorney. The transmission of the NYSCEF notice shall constitute duplicate notice.

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XII. CASE SEARCH/DOCKET REVIEW

If an attorney on a case wishes to review documents in the case, he/she can conduct a “search.” This can be done by clicking on the “Inquiry” link on the top of any page or in the “Main Menu” (“Case/Claim Inquiry”)(Screen No. 6). A search can be done by index/claim number, parties, or attorney. See Screen 24:

Screen 24

The result will be, if there is a case, a “Search Results” screen (Screen 25):

Screen 25

By clicking on the claim or index number on the left, the User: - - will reach a page (Screen 26) that will provide access to a list of all documents

(the case docket) or all documents relating to a particular motion (Screen 27)

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- - can obtain easy access to any document on the docket (other than one that has been “returned for correction”) by clicking on that document (Screen 27)

- - can obtain access from Screen 26 to “Docket Detail,” which is key information about the case (status of consent, Judge assigned, if any, identification of attorneys, etc.). See Screen 28.

Screen 26

Screen 27

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Screen 28 The User can obtain detailed information about any particular document by clicking on the link under “Document #” in the e-docket (Screen 27). This will yield “Document Detail” (Screen 29):

Screen 29

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Among other things, the Document Detail screen will show the date the document was received by NYSCEF and will list the persons to whom e-mail notifications were sent (service) at their Primary (Service) Addresses. (Before the NYSCEF Rules were changed in May 2008 to allow for the e-mail service system described earlier, no record of automated e-mail transmissions was recorded and so none will be shown here as to documents received prior to that date.) Clicking on “Attorneys of Record” will show information about the participating attorneys on the case, including their e-mail addresses.

XIII. FURTHER INFORMATION

If a User has a question that is not answered by this User’s Manual, he or she is welcome to contact the Electronic Filing Resource Center at the phone number or e-mail address listed below, or by clicking the “Contact Us” button on the top of any page. ELECTRONIC FILING

646-386-3033 efile@courts.state.ny.us Jeffrey Carucci Statewide Coordinator for Electronic Filing

9/8/09