The following definitions apply for the purposes of this rule:
(a) "Restricted identifiers" means any of the following numbers of any person or legal entity: a complete or partial social security number, employer identification number, or other taxpayer identification numbers; and any financial account numbers other than the last four numbers of a financial account number that is not also a social security, employer identification, or other taxpayer identification number.
(b) "Financial account number" means a string of numeric or alphanumeric characters assigned to a credit, deposit, trust, insurance, or other account that can be used by someone other than those authorized to access the account to obtain access to the account for unauthorized transactions, provided that a billing number issued by a government entity which number is publicly accessible from such government entity is not a financial account number under this rule. For the convenience of filers, the state court administrator may establish a non-exclusive list of examples of financial account numbers, and the list shall be posted on the judicial branch website (www.mncourts.gov).
(c) "Financial source documents" means income tax returns, W-2 forms and schedules, wage stubs, credit card statements, financial institution statements, check registers, and other financial information deemed financial source documents by court order.
(Amended effective July 1, 2007; amended effective July 1, 2014; amended effective January 1, 2021.)
(a) Records Generated by External Filers. Restricted identifiers are prohibited in all documents or other records filed with the court except when the restricted identifiers are germane and necessary for the court's consideration of the issues then before the court. If it is necessary to provide restricted identifiers to the court, they must be submitted in one of the following two ways:
(1) on a separate Confidential Information Form 11.1 as published by the state court administrator; or
(2) on a non-public document submitted in accordance with Rule 11.03.
The Confidential Information Form 11.1 shall not be accessible to the public.
Every person who files any other document or other record with the court is solely responsible for ensuring that it contains no restricted identifiers, except as permitted in section (a) of this rule. The court administrator will not review each record for compliance with this rule. Notwithstanding this provision, the court administrator may take any action consistent with Rule 11.05.
(b) Records Generated by the Court. Restricted identifiers maintained by the court in its register of actions (i.e., activity summary or similar information that lists the title, origination, activities, proceedings and filings in each case), calendars, indexes, and judgment docket shall not be accessible to the public. Courts shall not include restricted identifiers on judgments, orders, decisions, and notices except on a Confidential Information Form 11.1, which shall not be accessible to the public.
(c) Certification. Every filing shall constitute a certification by the filer that the documents filed contain no restricted identifiers, except as permitted in section (a) of this rule. For documents filed using the E-Filing System, this certification may additionally be provided by electronically acknowledging the certification statement in the manner designated by the E-Filing System.
(Added effective July 1, 2005; amended effective January 1, 2010; amended effective July 1, 2014; amended effective July 1, 2015; amended effective January 1, 2021.)
(a) Cover Sheet or E-Filing Code Required. Every person filing non-public documents with the court in public case types is solely responsible for identifying and designating them as non-public. When e-filing, non-public documents shall also be designated as Confidential or Sealed in the E-Filing System as required by Rule 14.06 of these rules. In all case types, restricted identifiers shall only be filed as authorized in Rule 11.02 of these rules. In juvenile protection cases, other confidential information and confidential documents must be filed as provided in Rule 8.04 of the Rules of Juvenile Protection Procedure. All other individual non-public documents filed in public cases, including but not limited to financial source documents, shall be:
(i) filed with the court with a separate, publicly accessible Form 11.2 Cover Sheet for Non-Public Documents as published by the state court administrator; or
(ii) e-filed with a specific filing code in the E-Filing System or via Court Integration Services, which defaults the document to Confidential or Sealed, as published in the E-Filing Code Guides by the state court administrator for that specific type of non-public document and case type.
Financial source documents and other non-public documents submitted as required in part (i) or (ii) above are not accessible to the public except to the extent that they are admitted into evidence in a testimonial hearing or trial or as provided in Rule 11.06 of these rules. The filer must file the Form 11.2 Cover Sheet for Non-Public Documents as a separate document from the non-public documents. The Form 11.2 Cover Sheet for Non-Public Documents shall be accessible to the public.
(b) Closed Account Statements. Statements from a permanently closed (also known as "charged off") credit card or financial institution account that has been identified as a closed account in a related filed document need not be submitted with a Form 11.2 Cover Sheet for Non-Public Documents unless desired by the filing party or as directed by the court.
(c) Absence of Cover Sheet or E-Filing Code. Non-public documents that are not submitted as required in part (a)(i) or (a)(ii) above are accessible to the public, but the court may, upon motion or on its own initiative, order that any such document be non-public.
(d) Not Applicable to Non-Public Case Types. This Rule 11.03 is not applicable to non-public case types. The state court administrator shall maintain and publish on the judicial branch website a list of non-public case types.
(Added effective July 1, 2005; amended effective July 1, 2007; amended effective January 1, 2010; amended effective July 1, 2014; amended effective July 1, 2015; amended effective January 1, 2021.)
Non-public documents may be filed as "confidential documents" or as "sealed documents." A person may submit a document for filing as a "confidential document" or "sealed document" only if one of these circumstances exists:
(a) The court has issued an order permitting the filing of the particular document or class of documents under seal or as confidential.
(b) This rule or any applicable court rule, court order, or statute expressly authorizes or requires filing under seal or as confidential.
(c) The filer files a motion for leave to file as confidential or under seal not later than at the time of submission of the document.
The court may require a filing party to specify the authority for asserting that a filing is a "confidential document" or "sealed document." For purposes of this rule, the terms "confidential document" and "sealed document" shall have the meanings set forth in Rule 14.01. Additional requirements for electronically submitting a document as confidential or sealed in the E-Filing System are set forth in Rule 14.06.
Upon review, the court may modify the designation of any document incorrectly designated as confidential or sealed and shall provide prompt notice of any such change to the person who filed the document.
(Added effective January 1, 2021.)
If a filer fails to comply with the requirements of this rule in regard to any restricted identifiers or other non-public information, the court may upon motion or its own initiative impose appropriate sanctions, including costs necessary to prepare an appropriate document for filing.
Any person may notify the court administrator at any time that a restricted identifier or other non-public information appears in a publicly accessible court record. Upon discovery that a document containing a restricted identifier or other non-public information has not been submitted in a confidential manner as required by this rule, the court administrator shall restrict public access to the document pending redaction or court order and direct the filer to, within 3 days, either:
(1) serve and file a properly redacted filing, including any necessary cover sheet, and pay any prescribed monetary fee to the court, and, if the party desires that the filing date of the resubmitted document(s) relates back to the filing date of the original document(s), serve and file a motion requesting the relation-back to the original filing date; or
(2) file a motion for relief from the court.
Any other party may oppose the motion seeking relation-back to the original filing date within the same time limits as are provided by law for the type of document(s) being filed. If a filer timely pays the monetary fee, and timely requests relation-back of the filing date, the court may, in the interests of justice, order that the filing date of the properly submitted document(s) relate back to the filing date of the original document(s). The court may additionally impose any sanctions it finds appropriate for the filer's non-compliance.
Except in criminal, civil commitment, and juvenile delinquency cases, or for medical records filed in any case type, if no action is taken within 3 days after direction from the court administrator, the court administrator shall strike the document so it is not accessible to the public, the parties, or the court. The parties and the court shall not consider the stricken document to be part of the court record unless the court, in the interests of justice under the circumstances of the individual case, orders the court administrator to restore the document to the official court record.
(Amended effective July 1, 2015; renumbered and amended effective January 1, 2021.)
(a) Motion. Any person may file a motion, supported by affidavit showing good cause, for access to Confidential Financial Source Documents or portions of the documents. Written notice of the motion to all parties is required.
(b) Waiver of Notice. If the person seeking access cannot locate a party to provide the notice required under this rule, after making a good faith reasonable effort to provide such notice as required by applicable court rules, an affidavit may be filed with the court setting forth the efforts to locate the party and requesting waiver of the notice provisions of this rule. The court may waive the notice requirements of this rule if the court finds that further good faith efforts to locate the party are unlikely to be successful.
(c) Balancing Test. The court shall allow access to Confidential Financial Source Documents, or relevant portions of the documents, if the court finds that the public interest in granting access or the personal interest of the person seeking access outweighs the privacy interests of the parties or dependent children. In granting access the court may impose conditions necessary to balance the interests consistent with this rule.
(Amended effective July 1, 2014; amended effective July 1, 2015; renumbered effective January 1, 2021.)
Any person may request access to records not governed by Rule 11.06 of these rules by following the procedures set forth in Rule 7 of the Rules of Public Access to Records of the Judicial Branch and any other applicable court rules.
(Added effective January 1, 2021.)
Rule 11 does not apply to search warrants or related documents filed administratively by law enforcement pursuant to Minnesota Statutes, section 626.17, and Rule 33.04(a)-(b) of the Rules of Criminal Procedure, except that if such a document contains a restricted identifier it shall be filed with a Form 11.2 Cover Sheet for Non-Public Documents in the manner described in Rule l 1.03(a)(l) of these rules. Rule 11 does apply to search warrants and related documents filed by parties in a case.
If any person filing a medical record in a civil commitment case fails to designate the medical record as non-public upon filing, the court administrator shall not reject the filing due to the failure to do so.
(Added effective January 1, 2021.)