Minnesota E-filing: How to Survive

This post is mainly intended for Minnesota probate attorneys, however, we hope that all readers learn from it.

The day of the electronic court record has come to Minnesota. Unfortunately, the path to e-filing feels like the road less traveled. The revolutionary movement of the state court’s transition to e-filing has come with its challenges. Parties (and attorneys) attempt to navigate through the new world of e-filing, county by county, and practice area by practice area. So why has this transition been so difficult? Here’s a look at some e-filing quirks and a compilation of tips to help parties (and attorneys) survive e-filing in Minnesota, with a specific look at e-filing in probate court.  

Excitement to Fearing the “E-file”

For those that rely on technology to even get up in the morning, the sound of e-filing was like music to their ears. Finally, it appeared that parties (and attorneys) would be able to access their case records online and wouldn’t need to make an extra trip to the courthouse to obtain a copy of an order.

But wait, is it true that parties (and attorneys) won’t be able to access all case records online?

Well, if they could not have access to the case records, at least the “filing” process would be much easier. Parties (and attorneys) could scan and upload documents and send them off into cyberspace. Parties (and attorneys) would no longer have to go to Hennepin County and meet with a probate registrar. E-filing would surely be a time saver.

But wait,  parties (and attorneys) are required to submit a “text-searchable PDF?”

Most of the current e-file users find e-filing is not easy. They have come to regret the day they ever wished for e-filing. 

E-filing in Minnesota

Minnesota courts began e-filing in September 2012. Minnesota General Rules of Practice now address e-filing and e-service.  (Rule 14).  Some counties have mandatory e-filing in certain practice areas and others have permissive e-filing in other practice areas. Some counties still do not participate in e-filing but are in the process of phasing it in. 

Probate documents can now be e-filed in Hennepin County. For a list of other counties, please see Minnesota District Courts Currently Offering E-filing and E-service. 

Scott County has an E-Court Kick Off Presentation on Wednesday, January 29, 2014 at 2:00 p.m.  Please contact Heather Kendall, Scott County Court Administrator at 952.496.8207 for more information. 

Common Complaints from Attorneys

One of the most common complaints about e-filing is that there is no uniform process. Every county is different and every practice area is different. Where one county might want proposed documents submitted via mail, another will want to them sent directly to the assigned judge. While one county might prefer typographical signatures, another county may prefer the original signed documents. Wait, what is a typographical signature?  Let’s address that later.

Probate E-filing in Hennepin County

E-filing for Hennepin County probate matters is permissive. There is no requirement to e-file…yet. Many people have questions about how to correctly e-file.  When in doubt, call the registrar or court administrator. That is true for almost every county and in almost every practice area.  Call the court administrator or call the registrar. They are there to help.

Tips for Probate E-filing in Hennepin County (from Hennepin County)

Here is a list of e-filing tips for parties (and attorneys) beginning to navigate e-filing on their own: 

–          List the party’s complete address, including decedent and personal representative. 

–        Attach the filing fee to the applicant personal representative and not the decedent.

–        Include the name and phone number of the e-filer in filer comment box.  This allows the probate registrar to call the filer immediately if there are any problems with the e-file.  Otherwise, documents will be automatically rejected. 

–        There is no attachment option.  Find the correct filing code or choose “other.”  Use “other” as a last resort.  Every file should have a code.

–        In the comment line of filing code, abbreviations are okay. There is no need to repeat the title of document.

–        Do not e-file the Will, codicil or separate writing. The originals are mailed or delivered to the court (depending on the county). 

–        Do no e-file the proposed order, statements or letters. Most likely, these documents will be sent via e-mail to the probate registrar or to the judge assigned to the case. 

–        Do not e-file the notice until after the phone conference with the probate registrar.

One other tip (even though it has nothing to do with e-filing):

–          Be sure to check MNCIS for demands for notice. Often times, attorneys search for the demands but do not find them.  However, probate registrars continue to find the demands when they complete their own search.  They suggest generalizing the search. For example: Kimberly Westerhouse – search Kim* West*. 

What is a Searchable PDF?

In addition to the above-listed issues, the “searchable PDF” requirement brought a new set of questions. Effective September 16, 2013, the courts mandated that all e-filings include text searchable PDFs when possible.  Previously, e-filed documents were not required to be submitted in a uniform format.  Documents could be submitted as a PDF or as a Word document.  Now, all documents must be submitted as a PDF with an enabled search function.  This requirement begs the question, do all documents need to be submitted in text-searchable PDFs? Answer, no. All documents electronically generated by parties (and attorneys) (ie. notices, complaints, motions, memoranda, etc.) should be submitted in text-searchable PDF format. However, certain submissions do not need to be e-filed in text-searchable format (ie. paper attachment to a motion (exhibit) or an electronically scanned document).  For more questions, see Searchable PDF Guide. 

Tip:  Bookmarking PDFs:  Adding bookmarks to a document makes navigating a large document easier for judges.  While multiple exhibits can certainly be filed as separate documents, they can also be filed as one PDF with separate bookmarks for each exhibit.  (Google “bookmarking PDFs” for examples). 

Typographical Signature

All documents must be submitted in a searchable PDF when possible, including those that require a party’s signature before a notary public.  In order to comply with the court rules, a party (or attorney) must now use a “typographical signature” instead of an original signature.  For example, if a party is submitting a probate petition, they would first obtain the personal representative’s signature.  But they would not scan and upload that original signed document.  Instead, they would change the document to list “/s/ Pat L. Smith” in place of the original signature.  For a notary signature, Hennepin county recommends the typographical signature include the notary’s name, commission expiration date, date the document was notarized, and the county where the document was notarized.  If a party does not list this information, the county will call to confirm this information. 

So, do parties need to keep the original documents?  Rule 14.04 provides that the electronically signed document (with the typographical signature) constitutes the original document.  However, the Advisory Committee Comments to Rule 14 provide that even though no party is required to truly sign or retain the paper copy, “it may be prudent for a litigant to maintain copies of these documents as duplicate originals in some limited circumstances, such as where an affidavit is signed by a non-party who may not be available if a dispute were to arise over authenticity.”  So in summary, keep those original paper copies. 

Confidentiality and E-Filing

Before e-filing, a party must know whether to designate the document as confidential, sealed or public. (Rule 14.06). Nothing about e-filing changes the Rules of Public Access to Records.  A party (or attorney) must know the rules before they choose the appropriate drop down option. A party (or attorney) cannot arbitrarily select sealed, public or confidential without possibly violating the Rules. See Form 11.1 (Confidential Information Form) and Form 11.2 (Sealed Financial Source Documents).  Tip: Remember, documents cannot be submitted with parties partial or entire social security number. Instead, the restricted identifiers should be redacted from the document and placed on a separate Form 11.1.  

Timely Service

Per Rule 14 and Minnesota Rule of Civil Procedure 5.06, a document is considered to be e-filed upon receiving a transmittal notice from the e-court, ie. “submitted.”  The same goes for e-service.  The party is considered to be e-served if they are a party listed as a service contact.  Once a party receives a transmittal notice, the party has been e-served. 

Remember, when someone receives a document from the court or from an opposing party, they must download the document within 30 days or the link becomes invalid. Probate registrars and court administrators are not so willing to re-issue a document, in the event they are willing to re-send a document at all.  Other times, a party will need permission from the court to receive the document again. 

Conclusion

All of these subparts are important because if parties (and attorneys) do not comply with the rules they can be sanctioned by the court.  Hopefully this article helps explain some of the intricacies of e-court.  And remember to contact Minnesota E-file Helpline with questions at 651.227.2002.  Tyler Technologies is the host for Minnesota e-court and any technical questions should be directed to Tyler.  Happy e-filing!