Forms & Rules

Forms

Application for Extension of Time to File Brief (Civil Case) (65 KB)

Application for Extension of Time to File Brief (Criminal Case) (161 KB)

Application for Extension of Time to File Brief (Juvenile Case) (137 KB)

Certificate of Interested Entities or Persons (16 KB)

Civil Case Information Statement (360 KB)

Clerk's Affidavit and Order for Extension of Time to File Transcript on Appeal (8 KB)

Docketing Statement for Criminal Notice of Appeal (21 KB)

Docketing Statement for Juvenile Notice of Appeal and Juvenile Notice of Intent to File Writ Petition (21 KB)

Reporter's Affidavit and Order for Extension of Time to File Transcript on Appeal (9 KB)

Stipulation for Use of Original Superior Court File in Lieu of Clerk's Transcript (7 KB)

 

Orders

Misc. Order 13-1


Local Rules of the Court of Appeal First Appellate District


Rule 1. Criminal and Juvenile Docketing Statements

(a) [Application of Rule] In all criminal appeals, juvenile appeals from proceedings arising under sections 300, 601, or 602 of the Welfare and Institutions Code, and juvenile writ proceedings seeking to review findings and orders setting a hearing under section 366.26 of the Welfare and Institutions Code, the clerk of the superior court must, upon the filing of a notice of appeal or notice of intent, prepare a docketing statement and promptly forward it to the Court of Appeal with the notice of appeal or notice of intent and a copy of the (abstract of) judgment, minutes or order that is under appeal or challenged by writ.

(b) [Forms] The following forms of docketing statements shall be used:

    (1) Docketing Statement for Criminal Notice of Appeal

    (2) Docketing Statement for Juvenile Notice of Appeal and Juvenile Notice of Intent to File Writ Petition

(c) [Sanctions] The failure of a clerk of a superior court to file a docketing statement as required by this rule may result in the imposition of sanctions under the California Rules of Court.

(Adopted, eff. October 16, 2006.)

Rule 2. Mediation in Civil Appeals

(a) [Mediation Program] To aid the expeditious and just resolution of civil appeals, the Court of Appeal for the First District has established a mediation Program ("Program"). Procedures for mediation and operation of the Program shall be promulgated by the First District Mediation Committee ("Committee"). The Program will be directed by a Mediation Program Administrator ("Administrator") acting under Committee procedures and supervision by the Administrative Presiding Justice or a designated Supervising Justice.

(b) [Scope of Mediation Program] Any civil appeal may be placed in the Program if selected by the Administrator or requested in writing by a party. The Administrator may remove an appeal from the Program and shall record the reasons for removal.

(c) [Mediators] The Committee shall specify the qualifications, training, and process for appointment of mediators in the Program. The Administrator will assign mediators to appeals. Mediation services will be furnished by the court without fee to the parties, provided that a mediation session exceeding 3 hours may be terminated by the mediator unless the parties and the mediator agree upon a fee payable to the mediator for continued services. The Administrator may replace a selected mediator upon written request by a party supported by a showing of good cause or upon request of the mediator.

For a list of Civil Appeals Mediators, Click here.

(d) [Mediation Process]

    (1) Within 10 days of the filing of the notice of appeal, the appellant shall file with the Clerk and shall serve on all other parties a completed Case Screening Form. Within 15 days of the filing of the notice of appeal, the other parties shall file with the Clerk and shall serve on all other parties their Case Screening Forms. The Case Screening Forms shall be transmitted by the Clerk to the Administrator and shall not be entered in the court file.

    (2) The Administrator, within 10 days of receipt of the Case Screening Forms, shall notify the parties when a case is selected for mediation and furnish the name, address and telephone number of the mediator. At the same time, the Administrator shall furnish the mediator copies of the Case Screening Forms.

    (3) Selection of a case for mediation will not suspend preparation of the appellate record or briefing, except pursuant to an order granting an application for an extension of time or a stipulation for an extension of time as provided in the California Rules of Court.

    (4) The Administrator, within 5 days of selection of the mediator, shall furnish to the parties 3 dates within the next 30 days when the mediator is available for the mediation session.

    (5) The parties, within 5 days of receipt of these dates, shall advise the Administrator of their scheduling preferences. The Administrator, after conferring with the mediator, promptly shall select the date and site for the mediation session and shall notify the parties.

    (6) The mediator, with the approval of the Administrator, may, for good cause, postpone or continue a mediation session to a date certain.

    (7) The mediator may require parties or their counsel to furnish information, documents, records or other items specified by the mediator.

    (8) The mediator may at any time communicate with any of the parties or their counsel with or without notice to the other parties or their counsel.

    (9) All parties and their counsel of record must attend all mediation sessions in person with full settlement authority. If the party is not an individual, then a party representative with full authority to settle all appeals and cross-appeals must attend all mediation sessions in person, in addition to counsel. If a party has potential insurance coverage applicable to any of the issues in dispute, a representative of each insurance carrier whose policy may apply must also attend all mediation sessions in person, with full settlement authority. Any exception to this requirement must be approved in writing by the Administrator.

    The mediator may invite participation by any additional person or entity if the mediator concludes that such participation would facilitate mediation.

    (10) No later than 10 days after completion of mediation, the mediator shall submit to the Administrator a Mediation Attendance Form, listing all participants in the mediation, and a Mediator's Statement, notifying the Administrator of the results of the mediation.

    (11) No later than 10 days after completion of mediation, the parties and their counsel shall separately complete and submit to the Administrator evaluations of the mediation and the mediator on a form provided by the Administrator.

    (12) The parties and their counsel shall promptly take the steps necessary to implement the agreements reached in mediation. An appellant who has settled must immediately serve and file a notice of settlement in the Court of Appeal and, thereafter, must seek abandonment or dismissal of the appeal as provided in the California Rules of Court.

(e) [Confidentiality] Except as otherwise required by law, information disclosed to the mediator, the parties, counsel, or any other participant in the mediation, or to the Administrator or the Coordinator of the mediation Program, shall be confidential and shall not be disclosed to anyone not participating in the mediation Program.

(f) [Ethical Standards] Mediators shall adhere to the Rules of Conduct for Mediators in Court-Connected Mediation Programs for Civil Cases set forth in the California Rules of Court.

(g) [Appellate Process] Parties and counsel shall comply with all rules applicable to processing appeals while concurrently participating in the mediation Program.

(h) [Sanctions] Monetary sanctions may be imposed by the Administrative Presiding Justice or Supervising Justice for failure to comply with these rules.

(Adopted, eff. October 16, 2006.)

Rule 3. Settlement Conferences in Civil Appeals

(a) [Application of Rule] This rule applies to all appeals in civil cases except appeals from proceedings under sections 601 and 602 of the Welfare and Institutions Code, appeals arising in proceedings involving jurisdiction over an abused or neglected child or to establish or terminate parental rights, and appeals from original proceedings ancillary to a criminal prosecution. This rule is operative in addition to Local Rule 2.

(b) [Request or Order for Settlement Conference]

    (1) A settlement conference will be scheduled if requested in writing by counsel for all parties to the appeal. The request may be made at any time prior to the close of briefing and shall be addressed to the Clerk/Administrator. A request by counsel for any party which declares that counsel for all other parties join in the request is adequate for this purpose.

    (2) At any time during the pendency of an appeal, the panel to which the appeal has been assigned may order a settlement conference even though none was requested.

    (3) The pendency of settlement proceedings will not suspend preparation of the appellate record or briefing, except pursuant to an order granting an application for an extension of time or a stipulation for an extension of time as provided in the California Rules of Court.

(c) [The Settlement Conference]

    (1) A justice selected by the court from outside the division to which the appeal is assigned shall preside over the settlement conference. The Settlement Conference Justice will provide each party with written notice of the date and time of the conference. All subsequent communications regarding the settlement conference shall be directed to the Settlement Conference Justice and shall not be entered in the court file. The Settlement Conference Justice may continue the conference from time to time to allow further opportunity for negotiation and agreement, and may make any order necessary to effectuate the conference.

    (2) All parties and their counsel of record must attend all settlement conference sessions in person with full settlement authority. If the party is not an individual, then a party representative with full authority to settle all appeals and cross-appeals must attend all settlement conference sessions in person, in addition to counsel. If a party has potential insurance coverage applicable to any of the issues in dispute, a representative of each insurance carrier whose policy may apply must also attend all settlement conference sessions in person, with full settlement authority. Any exception to this requirement must be approved in writing by the Settlement Conference Justice.

    The Settlement Conference Justice may invite participation by any additional person or entity if the Settlement Conference Justice concludes that such participation would facilitate settlement.

(d) [Implementation of Settlement Agreements] The parties and their counsel shall promptly take the steps necessary to implement the agreements reached at the settlement conference. An appellant who has settled must immediately serve and file a notice of settlement in the Court of Appeal and, thereafter, must seek abandonment or dismissal of the appeal as provided in the California Rules of Court.

(e) [Confidentiality] Except as otherwise required by law, information disclosed to the Settlement Conference Justice, the parties, counsel, or any other participant in the settlement conference shall be confidential and shall not be disclosed to anyone not participating in the settlement conference.

(f) [Appellate Process] Parties and counsel shall comply with all rules applicable to processing appeals while concurrently participating in the Settlement Conference Program.

(g) [Sanctions] Monetary sanctions may be imposed by the Administrative Presiding Justice, the Supervising Justice of the Settlement Conference Program, or the Settlement Conference Justice for failure to comply with these rules.

(Adopted, eff. October 16, 2006.)

Rule 4. Motions for Stipulated Reversal of Judgment

A motion filed in this court for stipulated reversal of a judgment of a trial court must include a joint declaration of counsel that (1) describes the parties and the factual and legal issues presented at trial; (2) indicates whether the judgment involves important public rights or unfair, illegal or corrupt practices, or torts affecting a significant number of persons, or otherwise affects the public or a significant number of persons not parties to the litigation (if the judgment is against a state licensee, the declaration must also disclose whether it exposes such person to any possible disciplinary proceeding); and (3) discloses whether the judgment sought to be reversed may have collateral estoppel or other effects in potential future litigation and, if so, whether any third parties who might be prejudiced by stipulated reversal of the judgment have received notice of the motion therefor. A copy of the judgment must accompany the motion.

The parties must provide a sufficient showing to support the findings required by Code of Civil Procedure section 128, subdivision (a)(8).

(Adopted, eff. October 16, 2006.)

Rule 5. Timely Preparation of Clerk's and Reporter's Transcripts

(a) [Extensions of Time] A request for an extension of time for the preparation of the clerk's or reporter's transcript on appeal will not be granted without an affirmative showing of good cause.

(b) [Defaults] In all cases in which a court reporter is in default, this court will promptly issue an order directing the court reporter to show cause why he or she should not be declared incompetent to act as an official reporter, pursuant to the provisions of section 69944 of the Government Code.

(c) [Sanctions] Sanctions may be imposed under the California Rules of Court for defaults in the preparation of clerk's or reporter's transcripts.

(d) [Forms] A motion for the extension of time to file a transcript shall be in substantially the form of one of the following:

    (1) Clerk's Affidavit and Order for Extension of Time to File Transcript on Appeal

    (2) Reporter's Affidavit and Order for Extension of Time to File Transcript on Appeal

(Adopted, eff. October 16, 2006.)

Rule 6. Contents of Reporter's Transcript in Criminal and Juvenile Delinquency Appeals

In addition to the normal record prescribed by the California Rules of Court, all records in criminal and juvenile delinquency appeals before the Court of Appeal, First Appellate District, are hereby augmented to include reporter's transcripts of the following proceedings:

(a) [Marsden Hearings] Any hearing held pursuant to People v. Marsden (1970) 2 Cal.3d 118. The original and two copies of the sealed transcript shall accompany the record upon certification and delivery to this court. The court shall provide appellant's counsel with a copy of the transcript. If appellant raises a Marsden issue, a copy of the transcript shall then be provided to the Attorney General in the manner prescribed in the California Rules of Court.

(b) [Pretrial Motions] Pretrial motions as follows: (1) motion to suppress identification; (2) motion to suppress statements of defendant (Miranda v. Arizona (1966) 384 U.S. 436); (3) motion to permit or preclude impeachment of defendant or witness with prior offenses (People v. Castro (1985) 38 Cal.3d 301); (4) motion to determine competence of defendant (Pen. Code, § 1368); (5) motion for severance or joinder; (6) motion for change of venue; (7) motion for discovery of police officer records (Pitchess v. Superior Court (1974) 11 Cal.3d 531); (8) motion for self-representation (Faretta v. California (1975) 422 U.S. 806); and (9) in limine motions held by the trial judge immediately preceding the trial or impanelment of the jury.

These motions shall be included only when denied in whole or in part, except for a People's motion for joinder or to impeach defendant, which shall be included only if granted in whole or in part.

Motions held in camera or under seal shall be transmitted to this court only, and no sealed copies shall be provided counsel for either party except on application to this court.

(c) [Revocation of Probation—Plea Proceedings] In appeals from revocation of probation: (1) the original sentencing proceeding at which probation was imposed; (2) the proceedings at the time of entry of a guilty plea or nolo contendere plea if the original judgment of conviction is based on such plea; and (3) the proceedings at which probation is revoked and the defendant is sentenced.

(Adopted, eff. October 16, 2006.)

Rule 7. Augmentation of Record

(a) [Material Inadvertently Omitted] Counsel should not file a motion to augment the record when items have been inadvertently omitted by the clerk or certified shorthand reporter from the designated (civil) or normal (criminal) record. In such cases, counsel should immediately notify the clerk of the trial court who shall forthwith transmit the omitted item to this court and send a copy to counsel.

(b) [When to File Motion to Augment] Appellant should file requests for augmentation in one motion made within 30 days of the filing of the record or within 30 days after the expiration of the 10-day administrator review period in assisted criminal cases. Respondent should file requests for augmentation in one motion made within 30 days of the filing of appellant's opening brief. Thereafter, motions to augment will only be entertained upon a showing of good cause.

(c) [Clerk's Transcript] A motion to augment the clerk's transcript should be accompanied by that document (or documents) and, if not, must identify the document (or documents) with specificity; such motion and accompanying documents must be simultaneously served on opposing counsel. The requested augmented materials shall have been filed or lodged with the trial court, and the motion shall be accompanied by a declaration shall so stating.

(d) [Reporter's Transcript] A motion to augment the reporter's transcript shall identify the portion of the record with specificity, including the reporter and date of hearing. It shall establish with some certainty how the requested materials may be useful on appeal. Requests for jury voir dire should specify the exact questioning by which counsel of which juror together with the reason justifying the request.

(e) [Good Faith Required] A motion to augment shall be made in good faith and shall not be made for the purpose of delay.

(Adopted, eff. October 16, 2006.)

Rule 8. Stipulation for Use of Original Superior Court File

The California Rules of Court authorize the use of the original superior court file in lieu of the clerk's transcript on appeal in those cases where the parties so stipulate. The procedure therein is approved for use by the superior courts within this district in all civil cases in which the trial court retains no continuing jurisdiction. The stipulation shall be in substantially the form of the following: Stipulation for Use of Original Superior Court File in Lieu of Clerk's Transcript.

(Adopted, eff. October 16, 2006.)

Rule 9. Judicial Notice Requests

(a) [Form of Request] Any request that the court take judicial notice under Evidence Code section 459 shall be submitted as provided in the California Rules of Court. A motion seeking judicial notice pursuant to Evidence Code section 452 must include a showing of the relevance of the information to be judicially noticed.

(b) [If the Court Defers Ruling] If the motion is filed at the same time as the moving party's brief or if the court, with or without notifying the parties, has deferred ruling on a judicial notice motion, any party may in its brief rely upon the items the moving party sought to have noticed. However, if the court denies the motion it will disregard any such matter or materials not judicially noticed.

(Adopted, eff. October 16, 2006.)

Rule 10. Filing by Facsimile

(a) [By the Trial Court] The trial court may transmit the following documents to this court via facsimile: (1) notices of appeal; (2) criminal and juvenile docketing statements; and (3) extension requests for court reporters and the superior court clerk's office.

(b) [By Counsel] Counsel may transmit the following documents to this court via facsimile: (1) civil case information statements; (2) stipulations for extensions of time; (3) changes of address; and (4) requests for oral argument.

(Adopted, eff. October 16, 2006.)

Rule 11. Extensions of Time for Filing Briefs

(a) [Procedure] The times for filing briefs in civil, criminal, and juvenile appeals are specified in the California Rules of Court. In civil cases, the parties may, by stipulation, extend the time for filing each brief not more than 60 days. In criminal and juvenile cases, extensions of time by stipulation are not allowed. Extensions of time may be granted by the court only on a showing of good cause.

An application for an extension of time to file a brief is not necessary, either before or after a default notice under the California Rules of Court, if the brief can be filed within the pertinent default period. The clerk shall accept such a brief as timely filed.

(b) [Forms] An application for an extension of time to file a brief shall comply with the requirements of the California Rules of Court and shall be in substantially the form of one of the following:

    (1) Application for Extension of Time to File Brief (Civil Case) (Judicial Council Form)

    (2) Application for Extension of Time to File Brief (Criminal Case)

    (3) Application for Extension of Time to File Brief (Juvenile Case)

(c) [Copies and Preaddressed Envelopes] The applicant shall provide the clerk with additional copies of the application, proposed order, and preaddressed envelopes with prepaid postage for mailing of the court's order to all parties.

(Adopted, eff. October 16, 2006.)

Rule 12. Bankruptcy Stays

(a) [Conditions for Giving Notice] Any party to a matter pending before this court who acquires knowledge of a proceeding in bankruptcy which may cause or impose a stay of proceedings in this court must promptly give notice of such bankruptcy proceedings, as set forth below.

(b) [Procedure for Notice] The notice required by subdivision (a) shall be filed with the court and served on all parties and shall include (1) a copy of the most recent order of the bankruptcy court and of any stay order issued by that court and (2) an explanation of whether a stay order or an automatic stay is in effect and why the stay applies to the pending appeal or writ proceeding. Any party disputing the notifying party's documentation or explanation shall promptly serve and file an opposing statement.

(c) [Status Reports] On the first court days of January, April, July, and October, the debtor or other party for whose benefit the stay is taken shall serve and file brief status reports to apprise the court of the current status of the bankruptcy proceedings.

(d) [Notice to Proceed] Any party may, at any time, serve and file notice of any circumstances or orders permitting the appeal or writ proceeding to proceed, including evidence that the bankruptcy stay has been lifted, the bankruptcy proceeding has been dismissed, or the party has obtained relief from the stay.

(Adopted, eff. October 16, 2006.)

Rule 13. Argument by Teleconference System

(a) [Teleconference System] The First Appellate District has a telephone conference call system that enables attorneys to present oral arguments by telephone, as an alternative to personal appearance in court. All oral arguments by telephone conference call will be heard by the justices on the bench in the courtroom, which will be open to the public.

(b) [Option of Counsel] In all cases, civil, criminal, and juvenile, in which a party has a right to present oral argument, counsel may elect to present oral argument either by personal appearance in the courtroom or by telephone conference call. The decision whether to present oral argument by telephone or in person is within the sole discretion of counsel and the parties, except that the court may direct counsel to appear in person.

In deciding whether to present oral argument by personal appearance or by telephone, counsel should consider the expense of a personal appearance to the parties and to the state and should determine whether the matters at issue can be satisfactorily argued by telephone conference call without incurring that expense.

(c) [Notice to Other Counsel] Upon receipt of oral argument notice from the court, counsel shall notify the court and all other parties in writing if he or she requests oral argument. If oral argument is requested, counsel shall indicate whether he or she elects to present oral argument in person or by telephone conference call. The notice shall be given within the time allowed for requesting oral argument.

If one counsel elects to argue by telephone and the other elects to appear in person, the counsel who elected to argue by telephone shall have the right to change his or her request and appear in person. The requested change shall be communicated in writing to the divisional deputy clerk and opposing counsel without delay.

(d) [Written Request for Oral Argument] Counsel's request to present oral argument by telephone conference call shall be made in writing and shall contain the following information: (1) the number and title of the case; (2) the name of counsel who will present oral argument; (3) the name of the party counsel is representing; and (4) the telephone number to be used for the conference call.

(e) [Fee to Cover Costs] The cost of the telephone system and service is billed to the court. No fee shall be charged to court-appointed counsel in any criminal, juvenile, or civil case or to the Attorney General or counsel representing the state, a county, a municipality or other government agency. In all other cases, a fee of $20 shall be paid by each party whose counsel requests oral argument by telephone conference call. A check in that amount, payable to the Court of Appeal, shall accompany counsel's request for oral argument. Additionally, telephone conference calls made to counsel outside the geographic boundaries of the First Appellate District will be made collect.

(f) [Notice of Time of Oral Argument] When a party requests oral argument by telephone conference call, the divisional deputy clerk shall notify counsel of the date, the approximate time of oral argument, and may indicate the maximum amount of time the court will allow for argument. The deputy clerk will arrange the conference call when the court calls the case for argument. If counsel fails to be available when the case is called, the court may deem oral argument waived.

(g) [Recording of Oral Argument] The court may record oral arguments presented by telephone conference call. A request for oral argument by telephone will be deemed consent to such recording.

(Adopted, eff. October 16, 2006.)

Rule 14. Circuit Riding Sessions

The court will conduct its hearings in its courtroom in San Francisco, California, except in the following instances:

(a) For the convenience of the litigants and attorneys, sessions may also be held in those cities or communities within the First Appellate District outside San Francisco from which sufficient appeals have been perfected to constitute one full day's calendar.

A session of the court may be held in the interest of justice at an appropriate educational institution within the First Appellate District. The court will not deviate from its normal calendar-scheduling practices in order to accumulate sufficient cases for a full day of hearings in any city or community.

(b) For the convenience of the court and court personnel, court sessions not held in the courtroom in San Francisco will be held only when suitable courtroom facilities are provided. Suitable courtroom facilities require security adequate to ensure the safety of the public and the court.

(Adopted, eff. October 16, 2006.)

Rule 15. Media Coverage of Matters at Oral Argument

Media coverage will be permitted only on written order of the presiding justice of the division hearing argument. The presiding justice in his or her discretion may permit, refuse, limit, or terminate media coverage. Any request for media coverage must be made on the Judicial Council form titled Media Request to Photograph, Broadcast, or Record. The form must be filed at least five court days in advance of the proceedings unless good cause is shown. The court directs the media's attention to the California Rules of Court, which specifically require pooling by media agencies.

(Adopted, eff. October 16, 2006.)

Miscellaneous Orders

 

Rule 16. Electronic Filing

Printable Copy

Pursuant to California Rules of Court, rule 8.70, the Court will require all filings in this District, effective March 17, 2014, for all civil filings and effective April 14, 2014, for all criminal and juvenile filings, to be made through the Court’s electronic filing system (EFS) operated by ImageSoft TrueFiling (TrueFiling). Use of the EFS system is mandatory for all attorneys filing in this District, unless an exemption is granted, and is voluntary for all self-represented litigants. A filing in electronic format will be accepted in lieu of any paper copies otherwise required under California Rules of Court, rule 8.44 and constitutes the official record of the Court.

(a) [Registration]

(1) Obligation to Register. Each attorney of record in any proceeding in this District is obligated to become an EFS user and obtain a user ID and password for access to the TrueFiling system. Self-represented litigants must register if they wish to e-file. Attorneys and self-represented litigants may register beginning starting March 10, 2014

(2) Obligation to Keep Account Information Current. An EFS user is responsible for all documents filed under the user’s registered ID and password. Registered users are required to keep their e-mail address current and may update their e-mail address online via the TrueFiling Web site.

(b) [Format] Documents filed electronically must be in PDF format, or readily capable of conversion to PDF format while maintaining original document formatting by TrueFiling to permit text searches and to facilitate transmission and retrieval. If the filer possesses only a paper copy of a document, it may be scanned to convert it to a searchable PDF format. It is the filer’s responsibility to ensure that any document filed is complete and readable. No single document shall exceed a total file size of 25 MB.

Electronic briefs must comply with the content and form requirements of California Rules of Court, rule 8.204, with the exception of those provisions dealing exclusively with requirements for paper.

(c) [Signatures] A TrueFiling user ID and password is the equivalent of an electronic signature for a registered attorney or party. Any document displaying the symbol “/s/” with the attorney’s or party’s printed name shall be deemed signed by that attorney/party.

(d) [Trial Court Record]

(1) Appendices, Agreed Statements, and Settled Statements. Parties must submit any appendix filed pursuant to California Rules of Court, rule 8.124, any agreed statement filed pursuant to California Rules of Court, rule 8.134, or any settled statement filed pursuant to California Rules of Court, rule 8.137 in electronic form. Appendices exceeding ten volumes may be delivered to the court on machine readable optical media in lieu of e-filing.

(2) Administrative Records. In addition to any administrative record provided by the trial court pursuant to California Rules of Court, rule 8.123, the party or parties seeking review must submit a copy of the administrative record in electronic form. An administrative record may be delivered to the court on machine readable optical media in lieu of e-filing.

(3) Reporter’s Transcripts. Any party who orders a reporter’s transcript of proceedings pursuant to California Rules of Court, rule 8.130 must also request a copy of the transcript in computer-readable format, as provided in California Rules of Court, rule 8.130(f)(4), and submit an electronic copy to the Court.

Should the record of trial court proceedings exceed the TrueFiling size limitations, a party must either (a) submit the record in multiple parts, or (b) provide the Court with the record in digital format on machine readable optical media.

(4) Submissions by the Trial Court. The trial court is encouraged, but is not required to, submit the clerk’s transcript and/or the reporter’s transcript(s) in searchable PDF format, either through the TrueFiling system or a court provided portal, in lieu of paper copies otherwise required under the California Rules of Court, and to make electronic versions available to parties willing to accept them in lieu of paper copies. Digital copies of clerk’s transcripts and reporter’s transcripts must comply with the content and form requirements set forth in the California Rules of Court with the exception of those provisions dealing exclusively with requirements for paper.

(e) [Personal Identifiers and Privacy Issues] To protect personal privacy, parties and their attorneys must not include, or must redact where inclusion is necessary, personal identifiers such as social security numbers, driver’s license numbers, and financial account numbers from all pleadings and other papers filed in the Court’s public file, whether filed in paper or electronic form, unless otherwise provided by law or ordered by the Court. (California Rules of Court, rule 1.20(b).) If an individual’s social security number is required in a pleading or other paper filed in the public file, only the last four digits of that number shall be used. If financial account numbers are required in a pleading or other paper filed in the public file, only the last four digits of these numbers shall be used. Particularly sensitive confidential information such as medical records and proprietary or trade secret information should be filed only under seal as required by law or authorized pursuant to the California Rules of Court.

The responsibility for excluding or redacting identifiers from all documents filed with the Court rests solely with the parties and their attorneys. (California Rules of Court, rule 1.20(b)(3).) Neither TrueFiling nor the Clerk of the Court has any responsibility to review pleadings or other papers for compliance.

(f) [Filing Deadlines] Filing documents electronically does not alter any filing deadlines. In order to be timely filed on the day they are due, all electronic transmissions of documents must be completed (i.e., received completely by the Clerk of the Court) prior to midnight. Where a specific time of day is set for filing by Court order or stipulation, the electronic filing shall be completed by that time. Although EFS permits parties to submit documents electronically 24 hours a day, users should be aware that telephone or online assistance may not be available outside of normal Court business hours.

(g) [Completion of Filing] Electronic transmission of a document through TrueFiling in compliance with the California Rules of Court shall, upon confirmed receipt of the entire document by the Clerk of the Court, constitute filing of the document for all purposes.

(h) [Technical Failure/Motions for Late Filing] If a filer fails to meet a filing deadline imposed by Court order, rule, or statute because of a failure at any point in the electronic transmission and receipt of a document, the filer may file the document on paper or electronically as soon thereafter as practicable and accompany the filing with a motion to accept the document as timely filed. For good cause shown, the Court may enter an order permitting the document to be filed nunc pro tunc to the date the filer originally sought to transmit the document electronically.

The Clerk of the Court shall deem the EFS system to be subject to a technical failure whenever the system is unable to accept filings continuously or intermittently over the course of any period of time greater than one hour after 12:00 noon that day. Filings due on the day of a technical failure which were not filed solely due to such technical failure shall be due the next court day. Such delayed filings shall be accompanied by a declaration or affidavit attesting to at least two attempts by the filer to file electronically after 12:00 noon with each attempt at least one hour apart on each day of delay due to such technical failure. The initial point of contact for any practitioner experiencing difficulty filing a document into the EFS system shall be the toll-free number posted on the TrueFiling Web site.

The Court shall not be responsible for malfunction or errors occurring in electronic transmission or receipt of electronically filed documents.

(i) [Manual Filing] An EFS user may be excused from filing a particular document electronically if (1) it is not available in electronic format; (2) it must therefore be scanned to PDF; and (3) the file size of the scanned document exceeds the limit specified on the EFS Web site. Such a document instead shall be manually filed with the Clerk of Court and served upon the parties in accordance with the statutory requirements and the California Rules of Court applicable to service of paper documents. Parties manually filing a document shall file electronically a manual filing notification setting forth the reason why the document cannot be filed electronically.

(j) [Service] An attorney’s registration with TrueFiling to participate in EFS constitutes consent to service or delivery of all documents by any other party in a case through the system. (California Rules of Court, rule 8.71.) Orders or other documents generated by the Court will be served only through the EFS or by e-mailed notification. Only self-represented litigants who are not registered EFS users will receive manual service or notification by other means.

(k) [Filing fees] TrueFiling is a private vendor under contract with the Court. TrueFiling will assess vendor fees for each filing in accordance with the schedule posted on its Web site, as approved by the Court. E-filing fees will be considered recoverable costs under California Rules of Court, rule 8.278(d)(1)(D). TrueFiling is designated as the Court’s agent for collection of Court imposed fees where required for any filing, and any associated credit card or bank charges or convenience fees (California Rules of Court, rule 8.78; Gov. Code, § 6159).
Self-represented parties are exempt from the requirement of electronic filing. However, should a self-represented party with a fee waiver opt to file documents electronically, that party is exempt from the fees and costs associated with electronic filing. The persons and entities identified in Government Code section 6103 also are exempt from the fees and costs associated with e-filing.

(l) [Exemptions] Self-represented parties may, but are not required to register for electronic filing, but must comply with this rule and the requirements of TrueFiling if they elect to register.
If this rule causes undue hardship or significant prejudice to any party, the party shall lodge the number of paper copies required by the California Rules of Court without regard to electronic filing, plus an additional unbound paper copy in lieu of the electronic copy, accompanied by a declaration setting forth facts that support the claim of hardship. Acceptance of the lodged papers for filing will be subject to further order of the Court. When it is not otherwise feasible for a party to convert a document to electronic form by scanning, imaging or other means, the document may be filed in paper form (California Rules of Court, rule 8.73(c)), together with a declaration setting forth the reasons that electronic filing was not feasible.

(m) [Sanctions for Noncompliance] Failure of counsel to timely register or otherwise comply with EFS filing requirements, unless exempted, shall subject counsel to sanctions as may be imposed by the Court.

(n) [Posting and Publication] The Clerk of the Court is directed to post a copy of this rule on the Court’s Web site pursuant to California Rules of Court, rule 8.74(a), and to submit a copy to the Reporter of Decisions for publication pursuant to California Rules of Court, rule 10.1030(a).

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