Revised E-Services Procedures and Technical Standards

I.  General Provisions  

A.   Scope/Authority – These revised E-Services Procedures and Technical Standards have been issued by the Honorable Barbara M. Quinn, Chief Court Administrator, to become effective on 10/15/2009.  They apply to all electronic services offered by the Judicial Branch.  Specific procedures that apply to Facsimile Filing, e-filing, and short calendar markings are set forth in subsequent sections of these procedures and technical standards.

B.   Technical/System Requirements – The hardware and software requirements for participation in E-Services are as follows:

• A personal computer with a 128-bit encryption version of Microsoft Internet Explorer® 6 or higher, or Firefox 3.0 or higher;

• Internet access (DSL or high speed Internet access is suggested for Civil e-filing); and

• Adobe Acrobat® Reader® 5.0 through 9.0 for PDF document creation and Adobe Acrobat® Reader® 5.0 or higher for viewing documents.

It is the users’ responsibility to review the Minimum Browser Requirements for Electronic Services to determine if their browser is compatible with the Judicial Branch’s security requirements and to access links allowing users, without costs, to upgrade their browsers or download a high-security browser. 

Note: Microsoft Internet Explorer® is a trademark of Microsoft Corporation, and Adobe Acrobat® Reader ® is a trademark of Adobe Systems Incorporated. 

C.   Enrollment and Passwords – Attorneys registered with the Statewide Grievance Committee and law firms which have obtained a law firm juris number may enroll and obtain a secure password that will enable them to access and complete certain business transactions electronically with the Superior Court.  In order to ensure an attorney/law firm’s authentication as the valid user of a juris number, a password will be issued to attorneys and law firms upon enrollment in E-Services.  As a part of that enrollment process, the enrolling attorney or law firm will be asked to select a secret question and answer to be used for authentication purposes.  The initial password will be mailed to the enrolling attorney at the office address that is registered with the Statewide Grievance Committee and to the enrolling law firm at the address of record with its law firm juris number.

Attorneys registered with the Statewide Grievance Committee and law firms which have obtained a law firm juris number may designate authorized individuals to file case initiation documents on their behalf. A designated filer will have a UserID and a password for use in accessing E-Services to maintain the designated filer’s account and to file case initiation documents electronically in the Superior Court on behalf of the attorney or law firm. 

It is the responsibility of the attorneys and law firms to protect passwords and security information from any unauthorized use. Any electronic transactions transmitted shall be presumed to have been authorized by the attorney and/or law firm whose juris number and password were used to conduct the electronic transaction on the Judicial Branch web site. Any electronic transactions conducted by a designated filer will be presumed to have been authorized by the attorney and/or law firm whose juris number was used by the designated filer to conduct the electronic transaction.

Note:  Use of the electronic filing system is limited to (1) enrolled attorneys and law firms and the employees of the law office under the supervision of an enrolled attorney and (2) individuals designated by attorneys and law firms to file case initiation documents on their behalf.

Note: Attorneys permitted to appear pro hac vice are not permitted to enroll in E-Services, file electronically or mark short calendar matters electronically.

If an attorney or law firm believes that their security information and password have been compromised or are being used by unauthorized individuals, the attorney or law firm must immediately contact the Branch IT Division HelpDesk at (860)-282-6555 or at HelpDesk@jud.ct.gov. 

The Office of the Chief Court Administrator reserves the right to suspend any password and terminate the access of any attorney who, or law firm which, or designated filer who on behalf of an attorney or law firm in the opinion of the Branch, misused any electronic services.

D.   Signatures – A document that is submitted electronically through the e-filing system or that is submitted electronically through facsimile must be signed by the attorney submitting the document as follows: 

1.   For any document electronically filed in the e-filing system, entry in the e-filing system of the individual juris number of the attorney who electronically filed the document shall constitute the signature of the attorney for the purposes of both Section 4-2 and Section 10-14 of the Practice Book.

2.    Any document electronically filed by a designated filer on behalf of an attorney or law firm shall contain the individual juris number and typed name of the attorney, and must be signed and fully executed in writing prior to the conversion of the documents to an electronic image and the electronic filing of the documents.

3.   For any document that is filed by facsimile, the attorney shall include the individual juris number, typed name, a facsimile of an actual signature, or a pen-to-paper signature on the signature lines of the document prior faxing the document to court.  The placement, on the signature lines, of such individual juris number, typed name, facsimile of an actual signature, or pen-to-paper signature shall constitute the signature of that attorney for the purposes of both Section 4-2 and Section 10-14 of the Practice Book.  

Note:  Requirements regarding affidavits and other documents requiring an oath or affirmation as well as certain other documents are discussed in the sections on Electronic Filing (e-filing) and Facsimile Filing that follow.  

E.   Official file – Until further notice, the paper file is the official file.  Documents submitted electronically through e-filing will be printed out on paper and retained in paper format along with documents filed on paper or by facsimile.   

At some point in the future, all documents will be retained electronically regardless of how they are filed.  The electronic image that resides in the court’s electronic filing database, whether filed electronically or filed in paper format and scanned into an electronic image and placed in the electronic file by the clerk, will be deemed to be the original.  At that time, the electronic file will be the official court file. 

F.   System Availability - In general, electronic services are available from 6:30 AM through 4:00 AM.  The hours between 4:00 AM and 6:30 AM are used for system maintenance and updating. There is also a possibility that the system would be offline on the first and third Saturdays of the month between 9:00 AM and 3:00 PM for routine system   maintenance. If the system requires a scheduled outage, the Judicial Branch will make every effort to issue a prior announcement on the Branch’s web site.  In the event of such an outage, it is the Branch’s business continuity policy that parties, attorneys, and law firms conduct business with the courts in accordance with the Connecticut Practice Book or other court orders. 

A document that is electronically received by the clerk’s office for filing after 5:00 PM on a day on which the clerk’s office is open or that is electronically received by the clerk’s office for filing at any time on a day on which the clerk’s office is closed shall be deemed filed on the next business day on which such office is open. 

The hours for submitting short calendar markings online are governed by the Civil or Family Short Calendar Standing Order. 

G.   Security – The Judicial Branch has adopted encrypted security and firewall protective measures to safeguard information transmitted through electronic transactions from loss, misuse, or alteration from outside influences.  The use of security software and a security certificate on the Branch’s web site establishes a direct Secure Sockets Layer (SSL) connection between the attorney/law firm’s computer and the Electronic Services section of the Branch’s web site.  This connection automatically encrypts the transaction and prevents others from viewing the transaction. 

H.   Retention and Destruction of Files and Records – The provisions of Practice Book Sections 7-10 through 7-16 concerning the retention and destruction of court files are applicable to electronic files and records. 

I.    Modifications to standards and procedures – The Judicial Branch reserves the right to add to, modify, or delete any section of these procedures and technical standards, including but not limited to the electronic transactions, at any time without notice.  Additionally, these procedures and technical standards will be updated as necessary to incorporate any changes or additions to the available electronic services.  It is, therefore, suggested that attorneys and law firms review these procedures and technical standards periodically.  Accessing electronic services after any additions, modifications, or deletions have been made will constitute the acceptance of such changes on the part of the user. 

J.    Privacy Policy – The Judicial Branch has a posted PRIVACY POLICY which should be reviewed. 

K.   Disclaimer – The Judicial Branch has posted a DISCLAIMER which should be reviewed. 

L.   Proprietary Rights – The State of Connecticut Judicial Branch web site is owned and operated by the Branch.  All contents of the site, including but not limited to intellectual property, text, graphics, and other images, are the property of the Branch and are protected by U.S. copyright laws. This web site is presented solely as a public service. 

II.   Electronic Filing (e-filing) 

A.   Scope –The following procedures are established by the Office of the Chief Court Administrator for the filing of motions, pleadings, or other documents by electronic means through the e-filing system. Section 4-4 of the Connecticut Practice Book.  

B.   These procedures shall apply to all case types that are established as e-filable by the Judicial Branch.   

Attorneys and law firms that are enrolled for E-Services may electronically file motions, pleadings, and other documents and electronically access certain case information through the use of the enrolled juris number and secure password.  

Electronic filing through e-filing of short calendar claims and reclaims in all e-filable cases is mandatory for all attorneys and law firms, unless an exclusion from electronic services requirements has been granted.

As of September 1, 2009, e-filing is mandatory in all foreclosure matters.  Attorneys and law firms without an exclusion from electronic services requirements are required to file electronically through e-filing:

1.   Case initiation documents (summons, complaint and marshal’s return) for foreclosure cases commenced on and after September 1, 2009;

2.   Motions, pleadings or documents in all existing e-filable foreclosure cases and newly initiated foreclosure cases unless otherwise provided by a standing order.  An existing e-filable case may be identified by its docket number.  If the number that follows the year is a 5 or a 6, the case is e-filable (for example, HHD CV 09 5001234 or FBT CV 08 6001015).  If the number that follows the year is a 4, the case is not e-filable (for example, HHB CV 09 4000196).

3.    Payment of all court fees in existing foreclosure cases and in foreclosure cases commenced on and after September 1, 2009 must be made electronically through e-filing.

Beginning December 5, 2009, e-filing of all other civil case types is mandatory for attorneys and firms without an exclusion from electronic services requirements, with the following exceptions.  The following case types will not be e-filable:  drug asset forfeitures, habeas cases, foreign civil judgments, summary process and housing civil matters, foreign protective orders.  Also, cases that include a prejudgment remedy, eminent domain case types (including state highway condemnation and redevelopment condemnation) and transfers from small claims will not be initiated electronically, but subsequent motions, pleadings or documents will be required to be filed electronically.

Note:  At this time, self-represented parties may not electronically file with the court or view documents electronically in their cases, although it is the intent of the Judicial Branch to provide self-represented parties with these capabilities in the future when the technology to do so is in place. 

C.  Specific types of documents – Except as otherwise provided in these procedures, any document filed with the court by an attorney representing a party to the case may be filed electronically.

1.   Case Initiation – (a) After the service of a signed writ of summons and complaint, an attorney may electronically file a true copy of such documents and the return of service with the clerk.  The filer shall retain the signed original paper documents throughout the pendency of the action, any appeal period, and any applicable appellate process. (b)  If the case initiation documents are filed by a designated filer authorized under Sec. I. C. of these Procedures and Technical Standards, the original signed writ of summons and complaint must be scanned into an electronic image and filed electronically with the clerk.  The attorney shall retain the signed original paper documents throughout the pendency of the action, any appeal period, and any applicable appellate process.

2.   Lodged/Sealed Documents – Records that are required to be lodged with the clerk pursuant to Practice Book Sections 7-4B and 7-4C and any document that is sealed or for which sealing is requested shall not be filed electronically, but must be filed in paper format. 

Note:  It shall be the responsibility of each attorney who files any document electronically or in paper format and of each self-represented party who files any document in paper format, to omit from such filing any confidential or otherwise privileged information unless the inclusion of such information is required by law, requested on a particular Judicial Branch form, or otherwise ordered by the Judicial Authority. 

3.   Documents requiring oath/affirmation or returns of service – Returns of service and documents that require an oath or affirmation may, if signed and fully executed in writing, be scanned into an electronic image and filed electronically with the clerk or may be filed with the clerk in paper format. If such a document is filed with the clerk in paper format, the clerk shall scan such document into an electronic image, place it into the electronic file, and return the original paper document to the filing party. The filing party shall retain such original paper documentation throughout the pendency of the action, any appeal period, and any applicable appellate process. 

Note:  Clerks will have the ability to scan case initiation documents into an electronic image but may not have the ability to scan all documents (e.g. affidavits, motions, and pleadings) into an electronic image on the effective date of these procedures.  Until they have this ability, documents filed with the clerk in paper format shall be retained in that format as part of the court file and any provision of these procedure to the contrary shall not be applied. 

D.   Filing Date/Confirmation of Filing – An electronically transmitted document shall be deemed filed when it is received by the clerk’s office during the normal hours of operation of the office.  A document that is received outside of the normal business hours, including a day on which the clerk’s office is closed, shall be deemed filed on the next business day upon which such office is open.  The time that a document is submitted and the time that such document is filed shall be recorded in the electronic filing database and shall be directly associated with the specific document.  Confirmation of the date and time of an electronic transaction and of the filing date of the document filed electronically shall be transmitted electronically to the filer.  The filer of the document should print out or electronically copy and retain such confirmation throughout the pendency of the action, any appeal period, and any applicable appellate process.  

E.   Corrective measures in E-Filing - Clerk’s office staff have the ability to perform either document substitution on attorney e-filed documents or repair on clerk scanned documents, move documents on either attorney e-filed documents or clerk scanned documents, or conform data entry to the summons in electronically filed case initiations. The specific procedures are as follows.

1. Substitution

Where a technical problem (i.e. readability and/or legibility errors) exists with a document e-filed by an attorney, the attorney may seek a substitution of the document by way of a written Motion to Substitute. The “Proposed Document for Substitution” must be appended to a Motion to Substitute. The motion will be taken on the papers, but it will print on a calendar to allow other parties an opportunity to object to the granting of the motion. 

If the Motion to Substitute is granted, the “Proposed Document for Substitution” will replace the document that was unreadable or illegible. The clerk will certify the substituted document in accordance with Practice Book Section 7-8. The e-filing system will retain as viewable the originally-filed document for those who have access to the electronic file and a notice of the substitution will be provided to all appearing parties by means of a judicial notice.  The originally-filed document is not available for reclaim or ruling.

2. Repair

Where a document originally scanned by court staff fails to reflect the original paper document, clerks may "repair" that document so that the scanned image accurately reflects the original paper document.  When such a document is brought to the attention of the clerk, the clerk will obtain a court order allowing for the repair. Upon receipt of the court order, the clerk will repair the document. The e-filing system will retain as viewable the original document for those who have access to the electronic file, and a notice of the repair will be provided to all appearing parties by means of a judicial notice. The original document is not available for reclaim or ruling.

3. Move Document

When a document originally scanned by court staff or electronically filed by an attorney is misfiled into the wrong file, clerks will be able to "move" the document.  If the misfiling is done by an attorney, a Motion to Move that contains an explanation of the misfiling and a request for the moving of the document from the incorrect file to the correct file must be filed by the attorney.  The Motion to Move will print on a calendar to allow for an opportunity to object. If Motion to Move is granted, the clerk will move the document. The e-filing system will retain as viewable the originally-filed document for those who have access to the electronic file and a notice of the move will be provided to all appearing parties in both the original incorrect case and in the correct case by means of a judicial notice.  A note will be displayed in the original case of the docket number and entry number to which the document was moved.

When the misfiling of a document by court staff is brought to the attention of the clerk, the clerk will obtain a court order allowing the moving of the document to the correct file.  Upon receipt of the court order, the clerk will file the document in the correct file.  The e-filing system will retain as viewable the originally-filed document for those who have access to the electronic file and a notice of the move will be provided to all appearing parties in both the original incorrect case and in the correct case by means of a judicial notice.   A note will be displayed in the original case of the docket number and entry number to which the document was moved.

The following documents cannot be moved: Documents that are system-populated Judicial Branch forms, documents that are sealed, documents that are in the process of being repaired, and documents that have been substituted.
 

4. Conform Data Entry

When a filer electronically files case initiation documents with the court and the case type, return date, and/or name(s) of plaintiff(s) and/or defendant(s) entered into the system do not conform to the information contained in the summons served on the defendant(s) and submitted electronically to the court, the filer may seek the correction of specific data by means of a Request to Conform Case Initiation Data Entry Information to Summons (form JD-CL-096). The Request to Conform Case Initiation Data Entry Information to Summons must be filed by the attorney and served on all parties to the action in accordance with Sec. 10-13 et seq. of the Practice Book.  Such request will be acted on by the clerk. Any objection to the request must be filed within ten (10) days of the filing of the request. 

F.    Failure to comply with standards and procedures – If any document is filed on paper instead of electronically as set forth in this section, the clerk shall not file the document and shall write “Not Accepted” across the file stamp on the document.  The clerk shall return the document to the sender with a notice as to why it was not filed.

III.      Facsimile Filing of Motions, Pleadings, or Other Documents 

A.   Scope - Pursuant to Section 4-4 of the Connecticut Practice Book, the following procedures are established by the Office of the Chief Court Administrator for the filing of motions, pleadings, or other documents by electronic means through facsimile filing. Attorneys and law firms without an exclusion from electronic services requirements are not permitted to file documents through facsimile filing in cases in which they have an appearance on behalf of a party if electronic filing through e-filing is mandatory for the case.

B.   Form/Page limits - Any pleading, document, or other paper filed by facsimile transmission shall be accompanied by a Facsimile Transmission Cover Sheet (JD-CL-73) prescribed by the Office of the Chief Court Administrator.  Such filings may not exceed twenty pages, including the cover sheet, unless otherwise directed by the court. 

C.  Original document/Certification – The facsimile transmission received by the clerk shall be deemed the original.  A facsimile transmission of a signed pleading, document, or other paper shall be considered signed for purposes of Section 4-2 and Section 10-14 of the Practice Book.  The attorney or party shall retain the signed copy of the pleading, document, or other paper during the pendency of the action, any appeal period, and any applicable appellate process.  The signed copy retained by the filer shall contain a certification signed by the filer indicating that the document is a true copy of the document that was transmitted by facsimile to the clerk.  The filer shall produce the signed copy upon request of the Court.  If the filer fails to produce the document, the Court may take any action and impose any sanction it deems appropriate. 

D.   Specific Types of Documents – Except as otherwise provided in these procedures, any pleading, document, or other paper to be filed with the court may be filed by facsimile transmission. 

1.   Documents requiring oath/affirmation - Documents that require an oath or affirmation may, if signed and fully executed in writing, be submitted by facsimile.  The filing party shall retain the original paper documents throughout the pendency of the action, any appeal period, and any applicable appellate process. 

2.   The following may not be filed by facsimile: 

• Any pleading, document, or other paper that commences an action,

• Any filings that must be accompanied by any fee or other payment,

• Criminal summonses and complaints,

• Uniform Arrest Reports, arrest reports, bond forms and seized property inventories, and

• Requests, applications, petitions, and other documents pertaining to restraining orders

• Documents in cases for which electronic filing through e-filing is mandatory for all attorneys and law firms, unless an exclusion from electronic services requirements has been granted.

E.   Filing date/Confirmation – Facsimile filings shall be complete upon the receipt of the entire document by the clerk’s office.  Facsimile transmissions received by the clerk’s office during the normal hours of operation of the office shall be deemed filed that day. A document that is received outside of the normal business hours, including a day on which the clerk’s office is closed, shall be deemed filed on the next business day upon which such office is open. The date of filing shall be as recorded on the document by the clerk.  The filer must cause the transmitting facsimile machine to print a transmission record which shall be retained by such filer for each transmission. If the facsimile document is not filed with the court as set forth herein because of an error in transmission unknown to the sender or because of a failure to process the facsimile document when received by the court, the filer may move for an order to allow the filing of the document as deemed appropriate by the court.  This motion shall be accompanied by the transmission record, a copy of the document transmitted, and an affidavit of transmission. 

F.   Failure to comply with standards and procedures – If a document exceeds the page limit, is incomplete as transmitted, is faxed to the incorrect court, or is otherwise not in compliance with the requirements of this section, the clerk shall not file the transmitted document but shall destroy it and return the cover sheet to or otherwise notify the sender as to why the document was not filed. 

IV.     Online short calendar markings  

A.   Scope – Short calendar markings are governed by the Civil or Family Short Calendar Standing Orders. Those standing orders govern the time within which markings must be made, the method by which those markings must be made, and the information that must be provided by the person marking the matters. They are posted on-line at http://www.jud.ct.gov/external/super/StandOrders/default.htm.

B.   Format/Display of Short Calendars 

1. Civil arguable and non-arguable matters will appear on separate short calendars, but if a case contains both arguable and non-arguable matters, the matters will appear together on the arguable calendar.
2. Arguable and non-arguable calendars will have a consistent numeric designation statewide.

C.   Designation of Arguable Matters - The following items will appear on the Civil Short Calendar as arguable under section 11-18 (a) and (e) of the Practice Book: 

1. Motions for permission to withdraw an appearance
2. Motions to Dismiss
3. Motions to Strike
4. Motions for Summary Judgment
5. Motions for Judgment of foreclosure
6. Motions for Judgment on the report of an attorney trial referee and/or hearing on any objections thereto 

Certain items, as may be designated by the Chief Court Administrator in accordance with section 11-18 (e) of the Practice Book will appear on the civil short calendar as arguable. See Notice Regarding Arguable Civil Short Calendar Matters

D.   Marking Methods – Electronic short calendar marking through E-Services is mandatory for all attorneys and law firms, unless an exclusion from electronic services requirements has been granted. Only self-represented parties, and attorneys or law firms with an exclusion, may mark their cases by telephone. 

Note:  Markings by facsimile are not accepted. 

E.   Obtaining an Exclusion – Attorneys and law firms can apply for an exclusion from electronic services requirements by completing the Request for Exclusion from Electronic Services Requirement form (JD-CL-92).  The form must be submitted to the Statewide Grievance Committee, 287 Main Street, 2^nd Floor, Suite 2, East Hartford, CT 06118-1885 for processing.  Each Exclusion request will be ruled on by the Chief Court Administrator or the Chief Court Administrator’s designee. 

F.   Marking Requirements – Regardless of the manner of transmittal, attorneys, law firms, and self-represented parties are required to provide the following information when submitting a marking on a civil or family case: 

1. Position of the case on the calendar,
2. Name and docket number of the case,
3. Entry Number and title of the motion,
4. Full name of the person making the marking and the law firm name, if applicable, and
5. Confirmation that all counsel and self-represented parties of record have been notified of the marking.

G.   Markings Available – Regardless of the manner of transmittal, attorneys, law firms, and self-represented parties shall use the following designations in marking matters on the short calendar: 

1.    “R” (Ready for Argument) – This marking may be used for civil and family arguable and non-arguable matters. 

a.    Use this marking to have a civil or family matter that is listed on the calendar as arguable heard by the Court on the scheduled date. 

b.   This marking may also be used to request a hearing on a civil matter listed on the calendar as non-arguable.  If a Civil Non-Arguable matter is marked “R” (Ready), the Court may decide to review the papers or may schedule a hearing on a future date.

2.    “TP” (Take Papers) – This marking may be used for civil arguable and non-arguable matters. 

a.   Use this marking for civil arguable matters to ask the Court to decide the matter by reviewing the papers.   Civil arguable matters marked “TP” may be handled in one of two ways:  (1) the court may decide the matter by reviewing the papers, or (2) the court may have a hearing.

b.   This marking must also be used for civil matters listed on the calendar as non-arguable to ask the Court to review the matter.   

3.    “O” (Off) –This marking may be used for civil (arguable or non-arguable) or family matters to inform the court that no action is required.  If a motion is not marked, the Court will take no action on it. 

An “O” marking is used to change an “R” (Ready) or “TP” (Take Papers) marking that has already been made.   

H.   Notification/Confirmation – On arguable matters, counsel and self-represented parties must bring the confirmation of the marking to the short calendar hearing.  This confirmation may be in the form of a Short Calendar Markings Confirmation and Receipt produced upon completion of the online electronic Short Calendar Markings Entry transaction or a detailed signed statement from the person who telephoned the marking to the court containing the name of the person who marked the case, telephone number, and the date and time of the marking.

These revised E-Services Procedures and Technical Standards were approved as amended on October 15, 2009 and become effective October 15, 2009.

The Honorable Barbara M. Quinn Chief Court Administrator