1. UP TO SPEED ON E-FILING: INTEGRATING IT INTO YOUR PRACTICE Michael A
UP TO SPEED ON E-FILING: INTEGRATING IT INTO YOUR PRACTICE Michael A. Koenecke Richardson, Texas
When I started out as a lawyer, back before the Earth’s crust had completely cooled, I remember my Bar card (show) was important to carry at all times, because that was how you could look at and copy stuff from a case file in the clerk’s office. A lot of things were done in person in those days. I don’t know if many lawyers under 40 even know what their bar number is – but for those of a certain age, it’s second nature However, as we all know, things have changed, technology has moved in, and we all need to adapt. For the few old folks clinging to Rolodexes and carbon paper, it may seem daunting, but the good news is that the adjustment is not only fairly easy to get one’s mind around, but also results in a more efficient practice. I’m here to talk about the new e-filing mandate, and how to integrate it effectively into your practice..

2. Creating a Consistent Filing System
The first thing we need to talk about are general office practices and procedures, because if you do not have those set up, e-filing is going to be a lot more trouble and effort than it needs to be. That means transitioning to the goal of, not exactly a paperless office, but one where paper no longer has a starring role. Let’s call it more e-centered, and particularly PDF-Centered.

3. Paper Files
Paper files still have their place, and for some traditionalists like me, there is simply no electronic substitute for an actual signed original document. However, mandatory e-filing puts the final nail in the coffin of paper files as primary sources: from now on they should be thought of solely as supporting backups to your main documentation, which should be PDF files on your computer hard drive.

4. Why PDF?
Why PDF? For one thing, e-filing requires it. I know that sounds a lot like “because they say so,” but also, PDF it is a publicly accessible format which retains document formatting, unlike word processing documents. PDFs are not easily edited or changed, so are more reliable. They can contain scans as well as text, and are equally readable in many different programs. Whereas Microsoft Word’s document format keeps changing, PDF is a standard that is as future-proof as one can get in our technological world.

5. Document and Folder Naming
And for your PDF-centered office, start now to give some thought in how you are organizing your client and case documents. Yes, you can run an operating system search for the contents of documents, and probably eventually find what you are looking for. But it is a lot quicker, and easier, to be able to visually scan a folder of, say, “Letters,” “Pleadings,” “Contracts,” or “Motions” under a particular client or case name to find what you need, if the files are organized logically. There are a million different systems, so figure out one that works for you and stick to it. I do recommend, when it comes to correspondence, naming letters with the format Year-Month-Day-dash-Recipient, as you can see in a few letters in this folder. [PAUSE[

6. Creating PDFs from Original Documents:
Direct from WordPerfect and Word
Now, creating these creatures in the first place is something you probably already are familiar with. All major word processors can create PDFs natively, and some can export bookmarks while doing it. Ordinarily, filing pleadings, discovery, motions, and the like with the court will require a signed document, but the e-filing rules, contained in new Rule of Civil Procedure 21(f), expressly permit signing documents in one of two ways: the first is by inserting a graphic of your signature, as you can see here. In my case, being kind of old-fashioned, I prefer to use a special signature font I had made up years ago, where a capital A turns into my signature. These signature fonts are not difficult or expensive to have made up: it is easy to find several alternatives on the Web for getting one.

7. For a more modern look, though, you can sign a document simply by typing your name after a slash-s-slash, like so. Whatever method you choose, be consistent with it and make sure that it complies exactly with the rule.

8. Creating PDFs via Acrobat or Nitro
Do I Really Need a Commercial Product?
Some documents may not come directly from your word processor. For instance, you may have to produce a spreadsheet as an exhibit, an export from your billing program, or perhaps pictures. If the program cannot produce PDFs natively, you will have to print it directly to Adobe Acrobat, or a different program like Nitro Professional.
Sure, there are free alternatives available on the Web to create PDF files. As we have already noted, your word processor can probably create them directly, as can the software that comes with your scanner. But there are certain things you will need to be doing with your PDF files that cannot be easily accomplished without professional software. Combining PDFs into a single file. Splitting into separate files. Adding and organizing bookmarks. Doing OCR on scanned PDFs. The law practice of the present, let alone the future, simply requires that you have PDF editing software that is up to the task.

9. Creating PDFs from Scans
Equipment
And, speaking of scanned PDFs, often you will simply have to create a PDF for filing via scanning. On the one hand, Rule 21(f)(8) says that an electronically filed document must (A) be in text-searchable portable document format (PDF) and (B) be directly converted to PDF rather than scanned, if possible. However, the e-filing rules in Section 3.4 state that if a document must be notarized, sworn to, or made under oath, the e-filer may electronically notarize the document or must scan the page with the notarized signature(s) or oaths and must include the page with the scanned notarized signature(s) or oaths with the document. Further, if a document requires the signature of an opposing party, the e-filer must scan the page with the signature(s) of the opposing party and must include the page with the scanned signature(s) with the document. You could also be including exhibits of existing physical documents, or other evidence. Now, I am a notary, and have looked up the “electronic notarization” thing, and still have no idea how that is supposed to work. So I’m going to be scanning. When you need to scan in a PDF, you need two things: good equipment, and good software. … As for equipment, some attorneys get by with all-in-one machines that print, copy, fax, and scan, but I recommend you consider going with a dedicated unit. Most lawyers I know swear by the Fujitsu ScanSnap – really, on the mailing lists I frequent it is virtually unanimous. But there are other similar products out there, like the Epson GT-S50 that I use. If you are in a larger office, you may have more commercial equipment available, which can help with some harder jobs, such as scanning documents that cannot be taken apart first (like wills).

10. Software
Although I use and like Nitro Professional on my laptop, and there are other alternatives available, I have Acrobat Pro on my desktop, and there really is no substitute for its power and flexibility. One tip: you really do not need to have the very latest version of Acrobat for compatibility. The latest is version 11, but if you look online for something a version or two behind you can start off with an excellent deal, and keep up in the future via upgrade pricing.

11. OCR and Indexing
As noted earlier, documents filed with the court are required to be text-searchable. When you scan a document into PDF, initially it is nothing more than a graphic file, like a JPEG or GIF. (This is, of course, not the case with PDFs produced by your word processor.) If you are not sure where a document came from, the way to check is to try selecting a portion of the page. If you get just a box, like you see on the screen, all it really is is a graphic file, and you need to run OCR (Optical Character Recognition) on it.

12. OCR and Indexing
In Acrobat, all that involves is selecting Document / OCR Text Recognition / Recognize Text Using OCR.

13. OCR and Indexing
If, in your original document, you wind up selecting actual text, like this, it should be good to go.

14. Adding Bookmarks
While you are at it, many counties are also requiring that documents contain bookmarks, so go ahead and add those. In either Acrobat or Nitro, it is as simple as right-clicking on the spot you want and choosing Add Bookmark. You can also rearrange the bookmarks by dragging and dropping, and change their visual attributes if you like.

15. Maintaining Proportions
Another nifty little trick to consider: ever notice how if you send a PDF to a client, which is then printed out, it does not quite look right? That is because you have created something with specific margins, and Acrobat by default shrinks whatever document to whatever minimum margins are required by the local printer. That means that your 1" margins often wind up being an inch and a quarter, and the document correspondingly shrinks. The way you fix this is by going into the Document Properties, choosing Advanced, and set Page Scaling to “None” (instead of “Default”). Make sure to save your document after you do this, and the printed version will look just like it is supposed to.

16. The Electronic Filing Process
Choosing a Provider
After all that PDF wrangling, we wind up with a document ready to file with the clerk. The first thing you need to do is choose an e-filing provider. For all e-filing, we are going to start at the portal, which is eFileTexas.gov. [eFileTexasHomePage] As you can see, if you already have signed up with a provider, there is a dropdown menu you can select from. If you have not yet, click below the “No” on “choose an e-filing service provider” and you will be presented with a list of providers and their characteristics.

17. The Electronic Filing Process
Choosing a Provider
[PAUSE] Let’s just work with the government-provided source for the time being, particularly since they do not charge an extra $2.00 per filing and I’m cheap.

18. The Electronic Filing Process
Choosing a Provider
Shortcut to
That would be the “State Provided EFSP,” which I will select, bringing us to the sign in screen. Remember, once you have selected a provider and are comfortable with using one, make sure to save a bookmark to there so you can just go straight to that provider in the future. In this case, that is .

19. A Note on Logins and Passwords
By the way, if you forgot your password, as I just did when preparing for this talk, make sure you have all your passwords kept up to date and organized with a utility like LastPass or KeyPass. Personally, I prefer KeePass because it is open source and usable on all platforms, including your mobile phone. And it is freeware. So, sign in with your address and your selected password, which brings you to your personal filings page.

20. Signing In and Setting Up a New Case
Click on the “NEW CASE” link, which is not a very obvious button, so I have circled it in red on this slide. That takes you to the New Case window…

21. Signing In and Setting Up a New Case
where you have to select your Location, Category, Case Type, and Payment Account. In my case, that would be Dallas County - County Clerk - Probate, a Probate or Mental Health case, an Independent Administration With Will, and my Chase Ink credit card. The days of sending off a check for filing fees from your IOLTA account are pretty much over and done with: you will have to use a debit or credit card. Since, to my knowledge, debit cards on IOLTA accounts are rather frowned upon, have a separate debit or credit card for business purposes, and then reimburse yourself with a check from your IOLTA account. On the next screen…

22. Entering Parties
you will enter the party name, his or her attorney (that would normally be you), and the party’s information. You can click the “Add Party” button to add other parties…

23. Entering Parties
- as you can see, there are lots of options. In a probate case, all I need to add are the Applicant and the Decedent.

24. Entering Parties
Don’t worry: you can go back and forth. Once the parties are set to your satisfaction, it’s on to the filings page.

25. Entering Parties
I’m going to select “Application,” and then type in the title of my document: “Application for Probate of Will and for Letters Testamentary.” The “Reference Number” field is for your convenience, if you want to track by your own client number. One thing you may notice: everything I type in to these screens is in ALL CAPS. This is a Dallas County peculiarity, required by the local e-filing rules. Now we’re in to the tricky part. First, there are “Optional Services,” some of which aren’t really optional at all...

26. Optional Services and Filing Fees
In a probate case, I have to manually select “Issue Posted Notice,” then Service of Posted Notice, each with a quantity of one (1).

27. Optional Services and Filing Fees
Note how you can select more than one optional service at a time. In a regular civil case, you would probably need to add “Issue Citation” and “Service By Constable - Citation.” Coincidentally enough, for a probate case that brings the total filing fee up to $ (not counting, of course, the added “convenience fee”, exactly the amount of the check you used to have to send in before January 1 of this year..

28. Optional Services and Filing Fees
Why they made figuring out the right filing fee more complicated for us, nobody knows. But that’s what you have to do for a probate case. For a civil case, I suggest looking at the breakdown of filing fees in the old fee schedules to figure out exactly what in those “optional” fees you have to add in. For the time being, they should add up to exactly what the total fee used to be.

29. Original Documents and Attachments
The next part which has been driving everyone batty is the whole “Lead Document” and “Attachments” conundrum. Generally speaking, your lead document is your pleading, and any other document which is not an integral part of that pleading is an attachment. So, for a probate case, I would file the generated PDF Application as the lead document and a scan of the original Will as an attachment. We also have to file a Civil Case Information Sheet with the application, and here is why it is tricky: that needs to be filed as a second Lead Document, or the clerk will reject the filing. The way you do this is to go back to the top of the page, and click the “Add Another Filing” button. This gives you the opportunity to add separate filings to the original. As you can see on this screen, I have already added a Civil Case Information Sheet…

30. Original Documents and Attachments
I also added a cover letter, in PDF, as another Lead Document, partly because I’m a creature of habit, but also because I think it’s courteous to the clerks.

31. Finishing Up
From there you click on the “Summary” button in the lower right corner. The first time I tried that, nothing happened, and I got a little frustrated, until I noticed a box outlined in red: I had not filled out all the fields. Once I said that the applicant, John Herbert Doe, would be responsible, I got to the summary page…

32. Finishing Up
from there, all you do is click on the “Submit” button on the lower right and you’re done. You will soon receive an looking like this:

33. All done!
All this is supposed to proceed smoothly and efficiently, and save us all time and money, lower our collective anxiety, and make for a happier practice of law in general. And if you believe it is actually working out that way, I’m assuming you just got out of law school yesterday. In the real world, you’re going to run into problems with e-filing, until all the kinks are worked out.

34. …or are we?
First, even if you take all the trouble in the world, it is likely you will have to deal with rejection, at least once. Lawyers all over Texas have been relating the most frustrating stories about dealing with e-filing and its inconsistencies. Don’t let it get to you: we all are going through this learning experience. Just re-submit and do what the clerk requires, and your filing will be credited back to the original date of submission.

35. Real World E-Filing Issues
Rules in Dallas County
1. Rules of Civil Procedure
2. Dallas County E-Filing Requirements
3. Dallas County E-Filing Reasons for Rejection
4. Dallas County Probate E-Filing Local Rules
5. Supreme Court Orders on E-Filing
Next, just in Dallas County alone, we probate lawyers have five relevant documents to be aware of: 1) the e-filing revisions to the Rules of Civil Procedure, 2) the Dallas County E-Filing Requirements, 3) the Dallas County E-Filing Reasons for Rejection, 4) the Dallas County Probate E-Filing Local Rules, and 5) the brand new Supreme Court Orders on E-Filing. There is also an e-filing FAQ online for the probate courts. These are all available for download on the Web page I have set up for you. You simply have to review the rules. For instance, here are some Dallas County requirements:
Documents must be in text-searchable PDF format on 8.5 x 11 page with content appropriately rotated. That means that landscape documents should not read sideways when viewed on a computer.
Scanned documents must be text searchable and text resolution of 300 dots per inch for black and white documents. Documents with color images must have a minimum resolution of 600 dots per inch. Many scanners are set to 200 dpi by default for documents, so you have to change that – and, if you are scanning photos, make sure to bump it up to the (much slower) 600 dpi setting.
Documents with multiple attachments for a single filing must be combined into a single PDF with bookmarks separating content. This includes exhibits and appendices.
Documents must include the filer’s contact information including an address in signature block.
Documents may not contain any security or feature restrictions. That means no password-protecting anything.
All parties to the case should be added with complete address information.
It is easy to run afoul of one of these if you are not careful.

36. Rules in Other Counties
And that is just for here: many of the rules we are having to comply with in Dallas County are pretty idiosyncratic and specific to our courts. Worse yet, each county in Texas is coming up with its own requirements. For instance, I understand that the Collin County Probate Clerk is requiring all documents be submitted in no less than a 14-point font, which is a surprise to us who have been using 12 point for 30 years. Fortunately, there is a resource provided by one of the filing companies for that. FileTime, one of the Texas e-filing providers, has a summary of various counties’ policies at their Web site as part of their Knowledge Base that is indispensable. It is provided in the resource section of the outline, and I have a link to it on my e-filing page.

37. Latest Supreme Court Order
Finally, the Supreme Court recently issued an order setting some statewide standards for e-filing. It is supposed to make more of this stuff standard across Texas counties, but I am not very optimistic. It is going to be a learning process, county by county, for all of us for some time.

38. Main: http://koeneckelaw.com/efiling
RESOURCES
Main:
Dallas County Probate e-Filing FAQ:
FileTime summary of Texas county e-filing policies:
E-Filing Revisions to the Rules of Civil Procedure:
KeePass Password Safe software (free):
Nitro PDF Professional:
Adobe Acrobat Professional:
I would like to say that the quirks of the e-filing system will be all ironed out by the end of the year, and that it will end up making our practices simpler and easier. I would like a pony for Christmas, too. What I will say, though, is that if you invest a little time and patience up front in learning the system, and work with the clerks on the other end who are trying to do their jobs, you can make e-filing a part of organizing a more efficient and effective practice that will pay dividends in the future. Thank you for your time and your attention, and I will be happy to try to answer any questions you may have.