The following definitions apply for the purposes of this rule:
(a) "Restricted identifiers" shall mean the following numbers of a party or other person: complete or partial Social Security number, complete or partial employer identification number, and financial account numbers other than the last four numbers of a financial account number that is not also a Social Security number.
(b) "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.)
(a) Pleadings and Other Documents Submitted by a Party. No party shall submit restricted identifiers on any pleading or other document that is to be filed with the court except when the information is 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 either of the following two ways:
(1) on a separate form entitled Confidential Information Form (see Form 11.1 as published by the state court administrator) filed with the pleading or other document; or
(2) on Confidential Financial Source Documents under Rule 11.03.
The Confidential Information Form (Form 11.1) shall not be accessible to the public.
The parties are solely responsible for ensuring that restricted identifiers do not otherwise appear on the pleading or other document filed with the court. The court administrator will not review each pleading or document filed by a party for compliance with this rule. Notwithstanding this provision, the court administrator may take any action consistent with Rule 11.04.
(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 the Confidential Information Form (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.)
(a) Cover Sheet Required. Financial source documents shall be submitted to the court under a cover sheet designated "Confidential Financial Source Documents" and substantially in the form set forth as Form 11.2 as published by the state court administrator. Financial source documents submitted with the required cover sheet 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 11.05 of these rules. The cover sheet or copy of it 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 the related pleading or other filed document need not be submitted as a Confidential Financial Source Document under Rule 11.03 of these rules unless desired by the filing party or as directed by the court.
(c) Absence of Cover Sheet. Financial source documents that are not submitted with the required cover sheet are accessible to the public, but the court may, upon motion or on its own initiative, order that any such financial source document be confidential.
(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.)
If a party fails to comply with the requirements of this rule in regard to any person's restricted identifiers or financial source documents, the court may upon motion or its own initiative impose appropriate sanctions, including costs necessary to prepare an appropriate document for filing:
Upon discovery that a document containing restricted identifiers has not been submitted in a confidential manner as required by this rule, the court administrator shall file it with a temporary non-public status pending redaction or court order and direct the filer to, within 21 days, either:
(1) serve and file a properly redacted filing 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 order that the filing date of the properly submitted document(s) relate back to the filing date of the original document(s).
If no action is taken within 21 days after notice, the filing shall be stricken.
(Amended effective July 1, 2015.)
(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.)
A party may submit a document for filing as a "confidential document" or "sealed document" only if one of these circumstances exists:
(a) The court has entered 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 party files a motion for leave to file under seal or as confidential 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.
(Added effective July 1, 2005; amended effective January 1, 2010; amended effective September 1, 2012; amended effective July 1, 2015.)