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This guide provides information on the responsibilities of e-filers, clerks, and court reporters in redacting protected information for filed documents. It also covers the types of protected information and the requirements for redacting and omitting such information.
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E-Filing & Confidentiality A Survival Guide for Filers Joshua M. MillerTraining/Compliance Coordinator Probate Division SupervisorPolk County Clerk of District Court State of Iowa Judicial Branch500 Mulberry Rm 212 Des Moines, IA 50309Ph. (515)-286-3778
Who’s Responsibility is it? 16.601(1): Responsibility of the filer, generally • It is the filer’s responsibility to ensure protected information is omitted or redacted from documents before they are filed with the Clerk. • The Clerk will NOT redact or seal documents that contain protected information on his/her own initiative. • eFiler is responsible for redacting their own documents; however, they may move to redact information submitted by other parties in the case. • eFiler is also responsible for inspection of transcripts filed by a court reporter for possible redactions on protected material.
Who’s Responsibility is it? (Cont’d..) Clerk’s Responsibilities • The Clerk is only responsible for redacting court-generated documents. • This includes avoiding distribution of documents in the court file containing protected information (i.e. security matrix). Court Reporter’s Responsibilities • Redactions for protected material in a transcript. • Parties to the action have 21 days to review otherwise deemed properly redacted.
Who’s Responsibility is it? (Cont’d..) Exhibits [16.601(3)] • Submitting party must inform the court of the inclusion of protected information and request exhibit be treated as a confidential document. • Submitting party to file redacted copy of exhibit to be made available to the public. • Any disagreement over redaction to be decided by the court. • Only parties with proper access can view the exhibits in their original form.
What is Protected Information? • Rule16.602 defines Protected Information to include the following: • Social Security numbers. • Financial account numbers. • Dates of birth. • Names of minor children. • Individual taxpayer identification numbers. • Personal identification numbers. • Other unique identifying numbers.
Information that MAY be Redacted • Rule 16.604 defines information that parties may choose to redact unless material to proceedings or disclosure is required by law. • Driver’s license numbers. • Information concerning medical treatment or diagnosis. • Employment history. • Personal financial information. • Proprietary or trade secret information. • Information concerning a person’s cooperation with the government. • Information concerning crime victims. • Sensitive security information. • Home addresses.
Omission and Redaction Requirements • Parties to omit protected information from documents filed with the court when information is not required by law or material to filings [16.603(1)]. • When information is required parties shall record on separate protected information form and redact document prior to filing [16.603(2)]. • Parties are not required to redact for documents confidential by statute, rule or court order.*
Protected Information Form (Rule 16.605) When a party is required to include protected information in a filed document, the party shall file a protected information form (16.606(1). • Form is available from the eFile login page. • Acts like a key or legend to court documents with redacted information. This ensures those with proper access can view the public and confidential information. • Filed with the Clerk and stored at a document security level of “1.” • Changes or additions to this information may be filed in a supplemental version [16.606(2)].
How is a Redaction Made? Rule 16.605 defines the manner in which to redact protected information. When this information is required or material to the case, only the following should be used: • Other types of protected information may be blacked out.
Orders and Other Court Generated Documents (16.607) Orders and court generated documents follow the requirements set forth in rule 16.603. • Redacted information in the order should be supplied by the information listed in the Protected Information Disclosure Form. (This would include any proposed orders submitted to a Judge). • Full disclosure is allowed by rule 16.603(4) when the order requires enforcement or action by someone outside the court.
Improperly Included Information • Party may move to redact improperly included protected information and request an immediate order to seal the document (pending notice to other parties) [16.608(1)]. • Court may seal document and cause redaction to be filed [16.608(2)]. • SANCTIONSmay result including: • Nonmonetary directives. • Penalties payable to the Court. • Payment to the moving party for attorney’s fees and other expenses stemming from the violation. • Also see 16.601(4).
Redacting in eFlex eFlex permits the filer to submit a redaction in two separate ways: • Redacting documents within the submission. • Redaction of a previously filed document. For each type of redaction the filer must select Redaction from both the Document Category and Document Type. After browsing for the redacted version of your document and clicking the Add button the screen will generate a page with each option.
Redacting in eFlex (Cont’d..) Previously Filed Documents • Use the radio buttons to select which document from a previous filing you wish to redact. • The Document Name, Date Filed, and Filed by or in behalf of fields will assist you in identifying the document. Click Next on the very bottom of the page when finished.
Redacting in eFlex (Cont’d..) Documents Within the Filing • Scroll down the page as this option will not appear first. • The Document Name, Date Filed, and Filed by or in behalf of fields will assist you in identifying the document. Click Next on the very bottom of the page when finished.
Redacting in eFlex (Cont’d..) • Once the redaction is received by the Clerk the original version will become stored at a higher security level and becomes confidential. • The redaction version submitted in its place becomes the public document available for viewing. • Contact your County Clerk if you make an error.
