united states court of appeals for the fourth circuit cm/ecf attorney

06/21/2024 LDJ i Fourth Circuit CM/ECF User Manual

UNITED STATES COURT OF APPEALS

OR THE FOURTH CIRCUIT

CM/ECF ATTORNEY MANUAL

UNE 2024

06/21/2024 LDJ ii Fourth Circuit CM/ECF User Manual

TABLE OF CONTENTS

WHAT’S NEW IN THIS VERSION OF THE USER GUIDE? ........................................................................... III

I. GETTING STARTED.......................................................................................................................................... 1

II. POLICIES AND PROCEDURES (LOCAL RULE 25) .................................................................................... 4

III. HOW TO USE THE SYSTEM – STEP BY STEP .......................................................................................... 18

IV. REPORTS ........................................................................................................................................................... 27

V. QUALITY CONTROL AND ERROR CORRECTION ................................................................................. 32

VI. QUESTIONS ....................................................................................................................................................... 33

06/21/2024 LDJ iii Fourth Circuit CM/ECF User Manual

What’s New in this Version of the User Guide?

Section Description of Change

N Citations to the Joint Appendix (Local Rule 28(g))

Throughout Updated to reflect changes related to Next Gen CM/ECF including

removing references to Java

Getting Started Update to Pacer quarterly fee

Throughout December 1, 2019, FRAP rule changes

Throughout Addition of procedures for highly sensitive documents

Policies &

Procedures

Update to Assigned Counsel Voucher email

06/21/2024 LDJ 1 Fourth Circuit CM/ECF User Manual

I. Getting Started

A. Definitions

1. Electronic Filing: The process of uploading a document from the filer’s computer,

using the court’s Internet-based Case Management/Electronic Case Filing System

(CM/ECF) to file the document in the court’s case file. The CM/ECF System

accepts documents only in Portable Document Format (PDF).

2. Filing User: An individual who has a login and password to file documents

electronically using the court’s CM/ECF System. Because an individual can use

the same login and password to file in any federal appellate court in which the

individual has registered, the terms Appellate Filer and Appellate ECF Filer are

also used.

3. Notice of Docket Activity (NDA): A notice generated automatically by the

CM/ECF System at the time a document is filed electronically. The notice sets

forth the date and time of filing, the party filing the document, the text of the

docket entry created by the filing, a hyperlink to the PDF document filed, and the

names of the participants served by email and U.S. mail. Each email recipient of

an NDA receives one free look at the attached documents. The free look expires

15 days from the date the Notice of Docket Activity is issued. It is a good practice

to save or print the Notice of Docket Activity as proof of the filing.

4. PACER: “Public Access to Court Electronic Records” is an automated system that

allows subscribers to view, print, and download court docket information and

documents over the Internet. The PACER system allows case participants “one

free look” at documents served electronically. The NDA for each filing will

contain a hyperlink to the document(s) filed. The document should be saved or

printed when it is first opened from the NDA. Subsequent electronic access to the

document or electronic access to the docket through PACER will be billed by the

PACER Service Center. No billing is done by the PACER Service Center until a

user’s charges exceed $30 in a quarter.

5. PDF: “Portable Document Format” means that the document’s format is device-

independent, resolution-independent, and fixed-layout. The document can be

viewed as created, regardless of the software that created it because PDF files do

not encode information that is specific to the application software used to create

the document.

WordPerfect versions 9, 10, 11, and 12 include the capability to convert text

documents to PDF by clicking “File” on the toolbar and then “Publish to PDF”.

Microsoft Word 2007 and later has built in PDF conversion software. You may

also use Adobe Acrobat Pro or download free PDF conversion software from any

source of your choosing. Refer to the “Help” option in your conversion software

for instructions on converting documents to PDF.

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Appellate CM/ECF includes a utility that allows users to check PDF documents for

compliance prior to filing.

1. To access the utility, login to CM/ECF, select Utilities, Check PDF

Document.

2. The Check PDF Document box will appear.

3. Select Browse.

4. Select the file to be checked.

5. Select Open.

6. A message will appear indicating if the file format is acceptable or not.

NOTE: The Check PDF Document utility does not check for file size, which

must be less than 50MB or text searchability of briefs.

There are two types of PDF files. Whenever possible, text PDF files must be used.

a. Text PDF: Electronically converted PDF documents are created from word

processing documents (MS Word, WordPerfect, etc.) using Adobe Acrobat or

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similar software. Text PDF documents are text searchable and their file size is

small. Text PDF documents, up to 50 megabytes, can be uploaded as one file;

documents of larger size should be split into separate files with appropriate

identification. Up to 250 megabytes can be uploaded per docket entry.

b. Scanned Image PDF: Scanned image PDF documents are created by putting

paper documents through an optical scanner. Scanned image PDF documents

are not text searchable and have a large file size. If a scanned image PDF

must be created because the electronic document is unavailable, the paper

document should be scanned at 300dpi with the “black and white” setting.

Scanned image PDFs up to 50 megabytes can be uploaded as one file;

documents of larger sizes should be split into separate files with appropriate

identification. Up to 250 megabytes can be uploaded per docket entry.

B. Hardware and Software

The following hardware and software are needed for CM/ECF:

1. Computer: A personal computer running Windows or MacOS with compatible

internet browser. i.e. Safari, Microsoft Edge, Google Chrome, or Mozilla Firefox

2. Word Processing Software: Word Perfect, Microsoft Word or any other word

processing software that will allow you to convert text documents to PDF.

3. Internet Service Provider and Web Browser: CM/ECF has been certified to work

with Safari, Microsoft Edge, Google Chrome, or Mozilla Firefox.

4. Email Account: You may register more than one email address for receipt of

Notices of Docket Activity. The address(es) must be regularly monitored, as your

only notification of case activity will be via email. Notices of Docket Activity will

be sent from the court’s ECF System. Counsel must ensure that the spam filter

operation on the network and computer receiving the email are set to allow notices

from [email protected]. The size of your email account must be

sufficient to receive Notices of Docket Activity from the ECF System. ECF-

related email may exceed the size allocated for free email accounts.

5. PDF Conversion Software: WordPerfect versions 9, 10, 11, and 12 include the

capability to convert text documents to PDF by clicking “File” on the toolbar and

then “Publish to PDF.” Microsoft Word 2007 and later has built in PDF

conversion software. You may also use Adobe Acrobat Pro or download free PDF

conversion software from any source of your choosing. Refer to the “Help” option

in your conversion software for instructions on converting documents to PDF.

6. Scanner: Use a scanner ONLY if you do not have access to an electronic version

of the document that would enable you to prepare a text PDF. Paper documents

should be scanned into PDF image format at 300dpi with a “black and white”

setting.

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II. Policies and Procedures (Local Rule 25)

A. Scope of Electronic Filing – Local Rule 25 (a)(1)

1. Effective Date: Electronic filing for attorneys began on April 1, 2008 and became

mandatory on June 1, 2008.

2. Service of Electronic Documents: Conventional service is required only on those

case participants who were not served electronically through CM/ECF as

identified on the Notice of Docket Activity. Any case initiating document

(petition for review, petition for enforcement of an agency order, petition for writ

of mandamus, petition for permission to appeal, and motion for authorization to

file a successive § 2254 or § 2255 petition) submitted electronically must be

served conventionally.

3. Persons Covered: All attorneys filing documents in the Fourth Circuit must file

electronically using CM/ECF (regardless of when the case was initially opened)

unless counsel applies for and the court grants an exemption for good cause shown

in a particular case. For pro se filers, a pro se litigant must obtain a PACER

account and request filing privileges with the Fourth Circuit once the case is active

with the court. Information for registration of a PACER account through the

PACER Service Center can be found

at https://pacer.psc.uscourts.gov/pscof/regWizard.jsf.

4. Specific Documents: All documents filed by counsel of record must be filed

electronically in PDF format (textPDF, if available) except:

1. Formal briefs and appendix are filed in electronic AND paper form.

2. Case initiating documents may be submitted electronically or in paper

form. Counsel must serve respondent(s) case initiating documents in hard

copy. For more information on submitting case-initiating documents

electronically, see eFiling (CM/ECF).

3. CJA payment vouchers are filed electronically using CJA eVoucher,

4. Assigned counsel vouchers are filed electronically at 4cca-

[email protected].

5. Motions to withdraw in criminal cases when counsel is not a Fourth

Circuit ECF filer and/or a member of the court’s bar. Please contact the

Fourth Circuit ECF help desk at 804-916-2767 for filing instructions.

Type of Document How to File

Application for Admission to the Bar Submit electronically or by mail.

Case initiating documents-- petitions for

permission to appeal, petitions for review,

applications for enforcement, petitions for

mandamus or prohibition, motions to authorize

successive habeas petitions

Submit electronically or file original in paper

form in court of appeals; provide electronic text

version in PDF form upon request. Counsel

must serve respondent(s) case initiating

documents in hard copy.

Notice of appeal File electronically in district court.

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Forms required within 14 days of case

opening-- appearance of counsel, disclosure

statement, docketing statement, transcript order

form

File electronically in court of appeals.

Motions, responses, replies File electronically in court of appeals. Exhibits

should be filed as part of the MOTION or

RESPONSE/ANSWER (to motion or

request) event. Exhibits that were filed in

district court as PDF text documents should be

downloaded from the district court docket and

included as PDF text exhibits with the motion or

response. Exhibits must be clearly identified by

letter or number.

EXCEPT motions to withdraw in criminal

cases when counsel is not a Fourth Circuit ECF

filer and/or a member of the court’s bar. Please

contact the Fourth Circuit ECF Help Desk at

804-916-2767 for filing instructions.

Formal briefs File electronically in court of appeals using

BRIEF (formal briefs not under seal) event;

only 1 paper copy of the brief is required (3

additional copies are required if the case is

tentatively calendared for argument). Paper

copies should be mailed or delivered the same

day the electronic brief is filed; however, paper

copies of a briefing document will be accepted

without a motion if filed no more than one day

late. Service of courtesy paper copies is not

required, although counsel may agree to such

service.

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Sealed version of formal briefs (including

briefs containing information pertaining to

highly sensitive documents)

File electronically in court of appeals using

SEALED BRIEF (court access) (formal

briefs under seal) event. Paper copies of the

sealed brief are filed with the court and served

on all parties entitled to access the sealed brief.

Counsel must also file a certificate of

confidentiality for the sealed version of the

brief. The redacted version of the brief is filed

using the BRIEF (formal briefs not under

seal) event. Paper copies of the redacted brief

are filed with the court but not served on the

parties.

If highly sensitive material is referenced in a

brief, counsel files multiple versions of the

brief: (i) a highly sensitive version with highly

sensitive material highlighted (paper form), (ii)

a sealed, highlighted version of the brief with

the sealed material highlighted using the

SEALED BRIEF (court access) (formal

briefs under seal) event and highly sensitive

material redacted (needed if the document also

discloses sealed material that is not highly

sensitive), and (iii) a public, redacted version of

the brief using the BRIEF (formal briefs not

under seal) event. Counsel must file a

certificate for highly sensitive document

protection (or a motion to seal, rather than a

certificate, if such protection is sought in this

court).

Appendix

See Federal & Local Rules 31 & 32 & Local

Rule 25(a)(1)(D) & the Fourth Circuit

Appendix Pagination & Brief Citation Guide

for complete information

Electronic Appendix - Appendices must be

filed in electronic and paper form. Appellant

files the full appendix in electronic form,

separately filing any sealed documents as a

sealed appendix.

06/21/2024 LDJ 7 Fourth Circuit CM/ECF User Manual

Sealed Appendix Volumes (including

appendices containing highly sensitive

documents)

Sealed record documents that are included in the

appendix must be placed in a separate, sealed

volume of the appendix. In consolidated

criminal appeals, these materials must be

separately sealed as to each defendant by

marking the volume and envelope as SEALED

– [DEFENDANT’S NAME] and serving the

volume only on the government and counsel for

the named defendant. Four paper copies and an

electronic copy of sealed volumes of appendix

are filed, together with a certificate of

confidentiality. Service of paper copies of

sealed appendix volumes is required since

parties cannot access the electronic version.

Indicate whether any sealed volumes are

included and file one copy in paper form of any

sealed volumes. Three additional copies are

required if the case is tentatively calendared for

argument.

One paper copy is filed in the court of appeals.

Three additional copies are required if the case

is tentatively calendared for argument. Serve

any non-ECF users with a full paper appendix.

If highly sensitive documents from the record

are included in the appendix, it must be placed

in a separate, sealed volume of the appendix

marked “HIGHLY SENSITIVE DOCUMENT”

and filed in paper form with a certificate for

highly sensitive document protection (or a

motion to seal, rather than a certificate, if such

protection is sought in this court).

Certificate of confidentiality or motion to seal

File electronically in court of appeals; also file 1

paper copy with sealed version of brief or sealed

volume of appendix.

Informal briefs

File electronically in court of appeals and serve

pro se litigants with paper copy. Most pro se

litigants are not registered as filing users and

therefore must be served conventionally.

Notices regarding availability for argument File electronically in court of appeals.

Acknowledgments of oral argument

notification

File electronically in court of appeals.

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Supplemental authorities, status reports,

memoranda, correspondence

File electronically in court of appeals.

Petitions for rehearing and rehearing en banc File electronically in court of appeals.

Bills of cost and objections to bills of cost File electronically in court of appeals.

Criminal Justice Act

CJA payment vouchers are filed electronically

at CJA eVoucher.

Assigned Counsel Vouchers

Assigned counsel vouchers are filed

electronically at 4cca[email protected].

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B. Eligibility, Registration, Passwords – Local Rule 25 (a)(2)

1. Attorneys: Attorneys who intend to practice in the court should register as a filing

user of the court’s CM/ECF System. Counsel who are not yet members of the

Fourth Circuit bar have limited access to CM/ECF. Non-bar member accounts do

not have access to filing in cases but users can submit their Application for

Admission to Practice electronically. Fourth Circuit bar members will have access

to filing in ECF upon activation of their account. Follow the steps below to

• Users who have never had a CM/ECF account in this court should go to

PACER Account Registration. The Registration Wizard is designed to help

you select the best registration option for your needs.

• In the NextGen system, all users are required to have their own PACER

account. Organizations that wish to consolidate billing and receive one

invoice for charges associated with multiple PACER accounts can register for

a PACER Administrative Account ("PAA"). All questions regarding PAA

accounts should be directed to the PACER Service Center at (800) 676-6856.

o Register for a PAA Account

o PAA Policies and Procedures

o PAA FAQs (select the PAA tab)

• Court Approval Process: Once the court receives your registration, your

account will be activated within 24 hours. You will receive an automated

email from the PACER Service Center indicating that your filing account is

active. If you are a member in good standing of the Fourth Circuit Bar, you

will be able to file documents via CM/ECF immediately. If you are not yet a

member of the Fourth Circuit Bar, you must submit your Application for

Admission to Practice before you will be able to file electronically. Once

your filing account is active (limited use for uploading the bar application),

you may submit your Application for Admission to Practice via CM/ECF.

Please review the Court’s web page for instructions on submitting your

application electronically. Once your application has been processed, you will

receive an email indicating that you are a member of the bar and full

electronic filing will be enabled for your filing account.

2. Pro Se Litigants: Pro se litigants who have an active case with the court may file

electronically by obtaining a PACER account and requesting filing privileges with

the Fourth Circuit. Information for registration of a PACER account through the

PACER Service Center can be found

at https://pacer.psc.uscourts.gov/pscof/regWizard.jsf.

3. Registration Constitutes Consent to Electronic Service: Completion of the

Appellate Filer registration constitutes consent to electronic service of documents

through CM/ECF.

4. Passwords: Your appellate ECF Filer login and password constitute your official

signature on all documents filed using that login and password.

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a. Security: Filing users agree to protect the security of their passwords.

Contact the PACER Service Center and the clerk immediately if you learn that

your password has been compromised.

b. Changing your Password: Login to the PACER Manage My Account site to

change your password.

c. Forgotten Password: If you forget your password, you can retrieve it

electronically through the Pacer Service Center Forgotten Password Request

website. You will need the user name, security question answer and the email

address associated with your account. The court cannot provide your

password or re-set your password. Please contact the PACER Service Center

at 800-676-6856 for password assistance.

d. Delegation of Authority to Use Login and Password: You may allow a

secretary, paralegal, or other authorized person to use your login and

password to file documents on your behalf. Remember that your login and

password constitute your signature regardless of whether you personally use

them or you delegate that authority to someone else.

e. Additional Email Recipients: A secondary account can be added at the time

of registration for a login and password. If the account has already been

created, you can update your account after logging into Fourth Circuit

CM/ECF, by selecting Utilities, Update My Account. Select the PACER

Service Center link. At the login prompt, enter your login and password and

click Login. On the Account Update page, select Maintenance, Update E-

filer Email Noticing and Frequency. To add an additional email address,

enter the email address in the Additional Emails box. If you would like more

than one additional email address to receive notification in your cases, list all

addresses in the Additional Emails box separated by a comma. Click Submit

once all additional emails have been added.

C. Consequences of Electronic Filing – Local Rule 25 (a)(3)

1. Filing Complete at Date and Time Stated on Notice of Docket Activity: Electronic

transmission of a document in CM/ECF, together with the transmission of the

Notice of Docket Activity from the court, constitutes filing of the document.

Filing must be completed before midnight Eastern Time, as shown on the Notice

of Docket Activity, to be considered timely filed that day.

2. Electronic Document is Official Record: When a document has been filed

electronically, the official record is the electronic document stored by the court.

Counsel must take care to verify the accuracy of the electronic document before

committing the transaction to the docket.

3. Documents Accompanied by Motions to File or to Extend Filing Time: When

leave of court or an extension of time is required to file a document out of time,

counsel files a motion using the appropriate motion event and a document using

the appropriate document event. If the motion is granted, the document is deemed

filed. If the motion is denied, the court will strike the underlying document. See

examples below:

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a. Use Motion / extend filing time [opening brief] to file a motion.

Use BRIEF (formal briefs not under seal) to file a brief.

If the court denies the motion, it will strike the brief. If the court grants the

motion, the brief will remain on the docket.

b. Use Motion / file supplemental appendix to file the motion.

Use SUPPLEMENTAL APPENDIX. File one copy (four if case is

tentatively calendared or calendared for oral argument) in paper form in court

of appeals.

If the court denies the motion, it will strike the appendix. If the court grants

the motion, the appendix will remain on the docket.

D. Service of Documents by Electronic Means – Local Rule 25 (a)(4)

1. Service of Electronic Documents: Conventional service is required only on case

participants who were not served electronically through CM/ECF, as identified on

the Notice of Docket Activity except for case initiating documents which must be

served conventionally.

2. Preparing Certificate of Service: A certificate of service is required only if

any service was made outside CM/ECF, such as for sealed or case-initiating

documents or on persons who are not registered CM/ECF users. To

ascertain how service should be accomplished on each party in order to

prepare the certificate of service, use the “Attorney Service Preference”

report within CM/ECF. See section IV(C) – Attorney Service Preference

Report for more information on the report. A PDF writable certificate of

service form is available at:

https://www.ca4.uscourts.gov/docs/pdfs/certofservice.pdf.

3. Notice of Docket Activity Constitutes Service on Filing Users: The Notice of

Docket Activity generated by the court’s CM/ECF System constitutes service of

the filed document on participants served electronically through CM/ECF. The

Notice of Docket Activity will state who has been served electronically through

CM/ECF.

4. Conventional Service Required for Those Not Registered as Filing Users:

Participants not served through CM/ECF must be served conventionally. To

ascertain how service should be accomplished on each party in order to prepare the

certificate of service, use the “Attorney Service Preference” report within

CM/ECF. See section IV(C) – Attorney Service Preference Report for more

information on the report.

5. Conventional Service Required for Sealed Documents: The events used to file

sealed documents - SEALED BRIEF (court access) (formal briefs under seal),

SEALED JOINT APPENDIX (court access), SEALED SUPPLEMENTAL

APPENDIX (court access), and SEALED DOCUMENT (court access only)

restrict electronic document access to court users only. Therefore, conventional

service must be used for all sealed briefs and other sealed documents.

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6. Conventional Service Required Case Initiating Documents: File the original in

paper form in the court of appeals or submit electronically. All case initiating

documents must be served conventionally.

7. Three Days Added to Prescribed Period if Service was by Means Other than

Electronic or Hand Delivery: Under FRAP 26(c), when a party is required or

permitted to act with a prescribed period after a paper is served on the party, 3

calendar days are added unless the paper is delivered on the date of service. As of

December 1, 2016, paper that is served electronically is treated as delivered on the

date of service and no additional time is added to the prescribed period.

E. Entry of Court-Issued Documents-- Local Rule 25 (a)(5)

Court orders, opinions, judgments, and other documents are filed electronically.

Documents filed electronically without an original signature have the same effect

as if the judge or clerk signed a paper copy.

F. Attachments and Exhibits to Motions and Original Proceedings-- Local Rule 25

(a)(6)

1. Electronic Filing Required: All attachments and exhibits to motions, responses,

and original proceedings must be filed in electronic form unless otherwise ordered

by the court.

2. Text PDF Required: Documents must be filed in electronic text PDF. Text PDF

files are text searchable and smaller in file size. If the text PDF version of a

document is unavailable (e.g. the document was not created by counsel and was

not filed as a text PDF in the lower court), the document may be filed as a scanned

PDF. All formal briefs must be text searchable.

3. File Size: Documents filed with the court electronically are limited to 50

megabytes per uploaded file. More than one file may be uploaded to a particular

entry. Please see section III (J) - Filing of a Multi-Part Document for instructions

on uploading multiple PDF files to one entry.

4. Separately Numbered or Lettered Exhibits: Any exhibits or attachments to a

document must be clearly identified by letter or number. Each exhibit/attachment

must be uploaded as a separate PDF file using the “Add Another” button within a

docket entry. After uploading the exhibit/attachment files, use the text box

provided to properly describe each file. Please see section III (J) - Filing of a

Multi-Part Document for instructions on uploading multiple PDF files to one

entry.

5. Previously Filed Exhibits: If you wish to refer to exhibits previously filed with the

court electronically, do not re-file them. In your document, cite the docket entry

number, file name and page number of the exhibit or material being referred to.

You may include a hyperlink to previously filed documents in addition to a

citation.

In order for hyperlinks to work properly in a PDF file, you must “publish” a

document to PDF rather than “print”.

In WordPerfect, first click File then, click Publish to PDF.

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In Microsoft Word, you must use Adobe Acrobat Writer or other conversion

software that allows you to “publish” to PDF rather than “print” to PDF. The

method for “publishing” a document to PDF varies depending on which

conversion software is used. Please refer to the Help portion of your conversion

software for questions regarding including hyperlinks.

G. Sealed Documents-- Local Rule 25 (a)(7)

1. Sealed Material Must be Filed in Accordance with Local Rule 25(c): Local Rule

25(c) establishes different requirements for the filing of material under seal:

a. Certificate or Motion: If the material was sealed in the lower court or is a

personal data identifier required to be sealed by federal rule, the material may

be sealed by filing a certificate of confidentiality. If the party is requesting

material be sealed for the first time on appeal, the party must file a motion to

seal rather than a certificate of confidentiality.

b. Appendix Volumes and Brief Versions: If the sealed material is part of the

appendix, it should be separated from the unsealed portions of the appendix

and filed as a separate, sealed volume of the appendix using the SEALED

JOINT APPENDIX (court access) entry. If the sealed material is referred to

in a brief or other document, two versions of the brief or other document must

be filed--a sealed version, with the sealed material highlighted, and a public

version, with the sealed material redacted.

c. Electronic and Paper Briefs: If a formal brief refers to sealed material, counsel

must file an electronic and paper version of the sealed brief and an electronic

and paper version of the public brief.

d. Electronic Documents: Since other documents are filed in electronic form

only, if a document contains sealed material, counsel must file a sealed

version and a public version in electronic form only.

e. Conventional Service: Since electronic access to sealed documents is limited

to the court, sealed documents must be served conventionally on participants

in the case.

2. Formal Briefs--Sealed Version & Public Version in Paper & Electronic Form:

a. Sealed Version: Mark the cover of the sealed version of the brief SEALED,

highlight all sealed material in the brief, and file the sealed version using the

entry SEALED BRIEF (court access) (formal briefs under seal). Also, use

Certificate of confidentiality to file a certificate of confidentiality if all

material was sealed in district court or consists of personal data identifiers.

Use Motion / seal if requesting the sealing of new material on appeal. In

addition to the electronic copies, one paper copy (three additional copies will

be requested if the case is tentatively calendared) of the sealed version of the

brief and either the certificate of confidentiality or motion to seal must be filed

in envelopes marked SEALED. The sealed version of the brief must be

served on opposing counsel conventionally since the SEALED BRIEF (court

access)(formal briefs under seal) entry automatically restricts electronic

document access to court users.

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b. Public Version: Redact all sealed material from brief and file using entry

BRIEF (formal briefs not under seal). Also, file one paper copy (three

additional copies will be requested if the case is tentatively calendared) of the

public version of the brief.

3. Appendices -- Sealed & Unsealed Volumes in Electronic and Paper Form (Local

Rule 25(c)):

a. Sealed Volume: Sealed record material is segregated from unsealed record

material and placed in a sealed volume of the appendix and filed electronically

using the SEALED JOINT APPENDIX (court access) entry. A certificate

of confidentiality is filed electronically stating that the material was sealed in

the lower court. The sealed volume of the appendix must be clearly marked

SEALED on the cover. One paper copy (three additional copies will be

requested if the case is tentatively calendared) of the sealed volume are filed

with one copy of the certificate of confidentiality in envelopes marked

SEALED.

b. Unsealed Volumes: All material not sealed below is included in the unsealed

volumes of appendix and filed using the JOINT APPENDIX entry. One

paper copy (three additional copies will be requested if the case is tentatively

calendared) of the unsealed volumes of the joint appendix are filed.

4. Other Documents--Sealed Version & Public Version in Electronic Form

a. Sealed Version: Mark the first page of the document SEALED, highlight all

sealed material in the document, and file using the entry SEALED

DOCUMENT (court access only). Also, use Certificate of confidentiality

to file certificate of confidentiality if all material was sealed in district court or

consists of personal data identifiers. Use Motion / seal if requesting the

sealing of new material on appeal. The sealed version of the document must

be served on opposing counsel conventionally since the SEALED

DOCUMENT (court access only) entry automatically restricts electronic

document access to court users.

b. Public Version: Redact all sealed material from the document and file using

the appropriate event for that document.

5. Highly Sensitive Documents – Documents, Briefs & Appendices

a. When a highly sensitive sealed document is filed, it must be filed in paper

form since highly sensitive sealed documents are NOT uploaded to

CM/ECF.

The highly sensitive document is accompanied by either a certificate

for highly sensitive document protection (for highly sensitive material sealed by

the district court or other tribunal) or motion for highly sensitive document

protection (for requests to file highly sensitive material under sealed in the first

instance). A paper copy of the certificate or motion must be filed with the

highly sensitive document, and electronic filers must also file the certificate or

motion in electronic form.

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b. If highly sensitive material is referenced in a brief, counsel should file

multiple versions of the brief: (i) a highly sensitive version with highly

sensitive material highlighted (paper form), (ii) a sealed, highlighted version

of the brief with the sealed material highlighted using the SEALED BRIEF

(court access) (formal briefs under seal) event and highly sensitive material

redacted (needed if the document also discloses sealed material that is not

highly sensitive), and (iii) a public, redacted version of the brief using the

BRIEF (formal briefs not under seal) event. Counsel must file a certificate

for highly sensitive document protection (or a motion to seal, rather than a

certificate, if such protection is sought in this court).

c. If highly sensitive documents from the record are included in the appendix, it

must be placed in a separate, sealed volume of the appendix marked “HIGHLY

SENSITIVE DOCUMENT” and filed in paper form with a certificate for

highly sensitive document protection (or a motion to seal, rather than a

certificate, if such protection is sought in this court).

For further information on redacting information from filings, please see How do I redact

items from pleadings?

H. Retention Requirements-- Local Rule 25 (a)(8)

Electronically filed documents that require an original signature, other than that of the

filing user, must be maintained in paper form by the filing user for a period of 3 years

after issuance of the court’s mandate.

I. Signatures-- Local Rule 25 (a)(9)

1. Filing User’s Login and Password Constitute Signature: The filing user’s login

and password serve as a signature for all purposes for which a signature is required

in connection with proceedings before the court. The filing user may not permit

use of the password by anyone other than an authorized agent.

2. Documents Requiring Multiple Signatures: Documents requiring signature by

more than one party may be filed by (i) submitting a scanned document with all

necessary signatures; (ii) representing the consent of the other parties on the

document; (iii) identifying the parties whose signatures are required and

submitting a notice of endorsement within 3 business days; or (iv) any other

manner approved by the court.

J. Notice of Court Orders and Judgments-- Local Rule 25 (a)(10)

Immediately upon entry of an order, judgment, or opinion, the clerk will electronically

transmit a Notice of Docket Activity to Filing Users, which will constitute the notice

and service required by FRAP 36(b) and 45(c).

K. Technical Failures-- Local Rule 25 (a)(11)

A party or attorney adversely affected by a technical failure in connection with filing

or receipt of an electronic document may seek relief by appropriate motion. For

example: Motion / extend filing time.

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If technical difficulties arise (on either end), documents may be emailed to the clerk’s

office at: 4cca[email protected]. When sending documents to the court’s email

account, opposing counsel must be copied, and the case number and title should be

included in the subject line of the message. In the body of the email, please explain the

difficulty encountered.

L. Public Access-- Local Rule 25 (a)(12)

1. Information Publicly Available on Internet: Parties should exercise caution with

regard to any sensitive personal data in filings, and counsel should notify their

clients that filings will be made available over the internet, so that an informed

decision can be made about what information to include. The clerk will not review

filings for redaction or sealing.

2. Redaction Requirement: Parties must redact the following personal data

identifiers as required by FRAP 25(a)(5).

a. Social security numbers: If an individual’s social security number must be

included, only the last four digits of that number should be used.

b. Names of minor children: If the involvement of a minor child must be

mentioned, only the initials of that child should be used.

c. Dates of birth: If an individual’s date of birth must be included, only the year

should be used.

d. Financial account numbers: If financial account numbers are relevant, only

the last four digits of these numbers should be used.

e. Home addresses: In criminal cases, if a home address must be included, only

the city and state should be listed.

For further information on redacting information from filings, please see How do

I redact items from pleadings?

3. Exemptions from Redaction Requirement: The federal rules exempt the following

documents from the redaction requirement: the account number or address of

property subject to a forfeiture action; state court records; agency records; court

records that were not subject to redaction requirements when created; filings in

social security and immigration cases; pro se filings in 28 U.S.C. § 2241, 2254, or

2255 cases; and documents preceding the charging document, the charging

document, the arrest warrant, and the search warrant in a criminal case.

4. Immigration, Social Security and Railroad Retirement Board Cases : In

accordance with FRAP 25(a)(5) and Rule 5.2(c) of the Federal Rules of Civil

Procedure, remote public access to electronic documents in immigration, social

security, and Railroad Retirement Board cases is limited to the court’s orders and

opinions. Remote electronic access to other documents in immigration, social

security, and Railroad Retirement Board cases is available only to parties and

attorneys in the case who have registered through CM/ECF. To access documents

in these cases, participants must use their CM/ECF login and password.

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M. Hyperlinks-- Local Rule 25 (a)(13)

1. Permissible Hyperlinks: Electronically filed documents may contain the following

types of hyperlinks:

a. Hyperlinks to other portions of the same document or to other documents filed

on appeal;

b. Hyperlinks to documents filed in the lower court that are part of the record on

appeal; and

c. Hyperlinks to statutes, rules, regulations, and opinions.

2. Standard Citations Required: Hyperlinks do not replace citations to the appendix,

record, or legal authority. Documents must contain standard citations in support of

statements of fact or points of law, in addition to any hyperlink. Hyperlinks are

simply mechanisms for accessing material cited in a filed document and are not

considered part of the appellate record.

3. Creating a PDF with Hyperlinks: In order for hyperlinks to work properly in a

PDF file, you must “publish” a document to PDF rather than “print”. WordPerfect

versions 9, 10, 11, and 12 include the capability to convert text documents to PDF

by clicking “File” on the toolbar and then “Publish to PDF”. Microsoft Word

2007 and later has built in PDF conversion software. You may also use Adobe

Acrobat Pro or download free PDF conversion software from any source of your

choosing. Refer to the “Help” option in your conversion software for instructions

on converting documents to PDF.

N. Citations to the Joint Appendix (effective July 15, 2022) – Local Rule 28(g)

The Court has implemented a “Citelinks” utility within the Judiciary’s CM/ECF system

that hyperlinks appendix citations in the briefs to the cited page of the appendix. The

Citelinks functionality requires that counsel paginate the appendix using Bates page

numbering and a standard prefix and that citations to the appendix in the brief use the

same prefix. Citelinks leaves the official filing in PACER unchanged but creates

hyperlinks in copies of the briefs and appendices used by the Court.

Local Rule 28(g) requires that pagination of the appendix and citations to the appendix

in the brief follow the Fourth Circuit Appendix Pagination & Brief Citation Guide.

A joint appendix is paginated and cited with a JA or J.A. prefix. A supplemental

appendix is paginated and cited with an SA or S.A. prefix.

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III. How to Use the System – Step by Step

A. Accessing the CM/ECF System

1. Use any internet browser to access https://www.ca4.uscourts.gov/ and select the

CM/ECF Login button under the Online Services heading on the right side of the

screen. Then select CM/ECF Document Filing System to file documents.

B. Login to CM/ECF:

Note: Your login and password are case sensitive.

After clicking CM/ECF Login, the CM/ECF login screen will appear.

1. Enter your PACER login.

2. Enter your PACER password.

3. Client Code is optional.

4. Click Login.

5. The Redaction Agreement window will appear. Review the information and

check the “I understand . . .” box.

6. Select Continue.

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C. Preparing a Certificate of Service

A Certificate of Service is required only if service was made outside CM/ECF, such as

for sealed or case-initiating documents or on persons who are not registered CM/ECF

users. To determine if a certificate is required, follow the steps below to access the

Attorney Service Preference Report in CM/ECF to easily identify case participants

service preference.

1. After logging into CM/ECF, click on Reports.

2. Click on Attorney Service Preference Report.

3. Enter the case number.

4. Click Show Service List.

5. The report will launch in a new window and display the participant name, address

and service preference.

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6. Using the service information provided by the report, complete the certificate of

service in accordance with the examples below:

a. Certificate of Service When All Case Participants Are CM/ECF Participants

and No Conventional Service is Required:

No certificate of service necessary.

b. Certificate of Service When Conventional Service is Required (e.g., Sealed

Documents, Appendices):

I hereby certify that on [date], I electronically filed the foregoing document

for which conventional service is required with the clerk of court using the

CM/ECF System, which will send notice of such filing to the following

registered CM/ECF users:

I further certify that on [date] I have mailed the foregoing document by First-

Class Mail, postage prepaid, to all case participants, at the following

addresses:

c. Certificate of Service When Not All Case Participants Are CM/ECF

Participants:

I hereby certify that on [date], I electronically filed the foregoing with the

clerk of court using the CM/ECF System, which will send notice of such filing

to the following registered CM/ECF users:

I further certify that on [date] I have mailed the foregoing document by First-

Class Mail, postage prepaid, to the following non-CM/ECF participants,

addressed as follows:

D. Convert a Document to PDF

Refer to the “Help” option in your conversion software for instructions on converting

documents to PDF.

Microsoft Word 2007 and later has built in PDF conversion software. You may also

use Adobe Acrobat Writer or download free PDF conversion software from any source

of your choosing. Refer to the “Help” option in your conversion software for

instructions on converting documents to PDF. Once your document has been converted

to PDF you can begin the filing process.

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E. Open Docketing:

1. Click on Filing in the toolbar at the top of the CM/ECF screen.

F. Access Your Case

1. Enter the appellate case number.

2. Press the TAB key on your keyboard.

3. Check to ensure that the correct case number and short title appear at the top of the

screen. If the case number you entered is consolidated or a cross appeal, all

associated cases will appear below the Type of Document selection box. Your

filing will be applied to all cases checked

G. Select Event Group and Event

NOTE: A complete list of event groups and associated events is available at:

http://www.ca4.uscourts.gov/caseinformationefiling/efiling_cm-

ecf/filingevents

1. In the Type of Document text box, begin typing a key word for your filing. In this

example: mot. The document selection list will begin to narrow to find items with

your keyword. You can also select the Category to the right to narrow the

available options.

1. Select the event you want to file from the list. In this example: Motion.

2. Click Continue. Note: The continue button will not be active until you select a

document type above.

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H. Filing a Motion

1. Select a Modifier, if appropriate.

2. Select the party(ies) filing the document. The party will drop down to the Selected

box. If you select an incorrect party, use the Red X to remove the party from the

selected box.

3. If the filer is not listed, type the name of the party in the text box provided.

4. Click Browse to upload the document being filed.

5. When the Select PDF Document box opens, from the Look In drop down menu,

select the folder in which the PDF version of the document being filed is saved.

6. Select the file you want to upload to CM/ECF.

7. Click Open. The path to your file will automatically appear in the Document box

in CM/ECF.

8. To ensure that you uploaded the correct file, select View to preview the file.

9. Enter the date of service on opposing parties.

10. Select the type of service. Select ECF if any participants are served by ECF.

Three days are added for service where service is by U.S. mail or courier service.

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H. Filing a Motion – Continued

11. In the Relief text box, begin typing a key word of the relief sought in the motion.

In this example: ext. The relief list will begin to narrow to find items with your

keyword. You can also select the Category to the right to narrow the available

options.

12. Select the relief you want to file from the list. In this example: Extend Filing

Time. You may add more than one relief per entry by selecting additional reliefs

now.

13. Click Continue.

14. Using the dropdown menus and text fields, answer the questions appropriately

15. Click Continue.

16. Review the Docket Text.

17. Click Continue.

18. Review the Final Review box. Select Edit if you need to make any changes.

19. Click Submit.

WARNING: Once you click Submit, the entry is final. You cannot make any

changes after finalizing the entry.

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20. Click OK to return to the Filing main page.

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I. Notice of Docket Activity

1. The Notice of Docket Activity will launch after you complete your filing.

2. It is a good practice to save or print the Notice of Docket Activity as proof of

filing.

3. If you do not receive a Notice of Docket Activity, your browser pop-up blockers

are likely blocking the window from appearing. Check PACER to see if the filing

is reflected on the docket. Follow up with ECF Help Desk at 804-916-2767 if

there is a problem.

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J. Filing a Multi-Part Document

When you need to attach exhibits or file a document that is too large to be uploaded as

one PDF file, follow the steps below.

1. Upload the primary document by clicking Browse, adding the path to the

appropriate file. The file name will appear in the Document box in CM/ECF. To

ensure that you uploaded the correct file, select the file name link to preview the

file.

2. Return to the Document Description box. Update the description as desired.

3. Upload an additional file by clicking Browse button that appears. Again, check

to ensure that you are uploading the correct, complete file.

4. You can upload as many additional files as necessary by following steps 2 and 3.

You can re-order the documents by utilizing the arrows in the Sequence column.

5. Continue with the docket entry.

K. Logout

1. When you are finished filing, click Logout, from the top menu, to exit

CM/ECF.

2. Select Yes to confirm that you want to logout.

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IV. Reports

A. PACER Docket Report

If you want to view the PACER docket report:

1. Click on Reports after logging into CM/ECF.

2. Click on PACER Case Search. The PACER Report screen will launch in a

separate window.

3. Type the case number of the docket sheet you wish to view.

4. If you want to search by name rather than case number, select party or attorney

and enter the name.

5. Click Search.

6. Click on the appellate case number to view the appellate docket report.

7. Click on the originating case number to link to the district court docket.

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8. The PACER docket report will include docket information and recent docket

activity.

9. If you wish to view the full docket report, click the “Full Docket” button at the top

of the screen. You will be charged the standard PACER rate.

10. To view the document(s) associated with a docket entry, click the document

number located between the date and docket text.

11. Click Logout to exit PACER reports.

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B. PACER Advanced Search

Use the “Advanced Search” option within PACER reports, if you would like to

conduct a search of the court’s docket to identify cases from a specific lower court,

cases docketed within a certain time frame, or a particular type of case.

1. Click on Reports after logging into CM/ECF.

2. Click on PACER Report. The PACER Report window will launch in a separate

window.

3. Click Advanced Search.

4. Select one or more search criteria.

5. Click Search.

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6. Click on the appellate case number to view the docket report for a specific case.

7. Click Logout to exit PACER reports.

C. Attorney Service Preference Report

A certificate of service is required only if service was made outside CM/ECF, such as

for sealed or case-initiating documents or on persons who are not registered CM/ECF

users. To determine if a certificate is required, follow the steps below to access the

Attorney Service Preference Report in CM/ECF to easily identify case participants

service preference.

1. After logging into CM/ECF, click on Reports.

2. Click on Attorney Service Preference Report.

3. Enter the case number.

4. Click Show Service List.

5. The report will launch in a new window and display the participant name, address

and service preference.

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6. Compose the certificate of service, if necessary, based on the service information

provided.

7. Close the report window using the “X” in the upper right corner of the window.

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V. Quality Control and Error Correction

A. Quality Control

Check for these common mistakes before committing a transaction.

 Are you filing in the correct case?

 Have you chosen the correct event?

 If you are filing a motion, have you chosen the correct relief?

 Is your PDF document in text format rather than scanned image format?

 Is your PDF document complete and legible?

 Have you uploaded the correct PDF file(s)?

 Is the correct case caption, including appellate case number, on your

document?

 Is a complete certificate of service included (if necessary)?

 Have you redacted any personal identifiers, sensitive or sealed information?

B. Error Correction - Counsel

1. Correcting an Error BEFORE an Entry is Committed: You can correct a mistake

any time before you commit a transaction to the docket.

a. Use the EDIT button at the bottom of the final confirmation screen to change

selections on previous screens.

b. Use the CANCEL button to abort the entry and start over.

2. Correcting an Error AFTER an Entry is Committed: Contact the clerk’s office

immediately if you discover an error after you commit a filing. Only court

employees can make changes and corrections once the Notice of Docket Activity

has been transmitted.

C. Error Correction- Clerk’s Office

1. Your case manager will review your docket entry and edit it if necessary.

2. Your case manager will review your filing and request that you correct the filing in

the following situations:

a. The document contains sealed information but was not filed using the

SEALED BRIEF (court access)(formal briefs under seal), SEALED

JOINT APPENDIX (court access), SEALED SUPPLEMENTAL

APPENDIX (court access) or SEALED DOCUMENT (court access only)

event.

b. The document is incomplete or illegible.

c. The document was filed as a scanned image PDF rather than a text PDF.

d. The wrong document was attached.

e. The filing was made in the wrong case.

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f. The document does not comply with the court’s rules and procedures.

VI. Questions

Issue Help Source (8:30am - 5:00pm)

PACER Registration

PACER Service Center

• 800-676-6856

• http://www.pacer.gov/

CM/ECF Filer Registration

PACER Service Center

• 800-676-6856

• http://www.pacer.gov/

Technical & Filing Questions

(existing or new case)

Fourth Circuit ECF Help Desk

• 804-916-2767

Policy & Procedure Questions

Case Specific Questions

Fourth Circuit Case Management

•

804-916-2700

Error Correction

Fourth Circuit Case Management

• 804-916-2700