Ind. Appellate Rule 68

Effective July 1, 2016

A. User Agreement Required.

Every User must execute a User Agreement with one or more Electronic Filing Service Provider(s) before that User may utilize the IEFS.

B. [Reserved]

C. Electronic Filing of Documents.

(1) Unless otherwise permitted by these rules, all documents submitted for filing in the Indiana Supreme Court or Court of Appeals by an attorney must be filed electronically using the

IEFS. The E-Filing of documents shall be controlled by the case number in the IEFS designated

by the User.

(2) Attorneys who wish to be exempted from the requirement that they file electronically may

file a motion for electronic filing exemption. The motion must be filed in each pending case to

which these rules are applicable. The motion will be granted only upon a showing of good

cause.

D. Proof of Filing.

Users should print or otherwise save each Notice of Electronic Filing as proof of E-Filing. Confirmation of E-Filing may also be made by referring to the Chronological Case Summary of the

court in which the case is pending through the Case Management System of that court.

E. Conventionally Filed Documents.

Conventionally filed documents must be entered into the Case Management System by the

Clerk. If the original documents cannot be converted into a legible electronic document, then

the originals must be placed into the case file and that action must be noted in the Chronological Case Summary. The filer must also conventionally serve these documents in accordance with these Rules.

F. Service.

(1) Service on Public Service Contact.

Registered Users must serve all documents in a case upon every other party who is a Public

Service Contact through E-Service using the IEFS. E-Service has the same legal effect as service of an original paper document. E-Service of a document through the IEFS is deemed complete upon transmission, as confirmed by the Notice of Electronic Filing associated with the

document. Exempt parties must serve all documents in a case as provided by these Rules.

(2) Service on Others.

Service of documents on attorneys of record or on unrepresented parties who are not Public

Service Contacts must be as provided by these Rules.

G. Format Requirements.

(1) Documents filed electronically must be formatted in conformity with these Rules and the

requirements of the IEFS.

(2) All documents must be submitted in the manner required by the EFSP. The IEFS may be

accessed via any Internet connection available to the Registered User and at Public Access

Terminals located in the office of the Clerk or the office of a county clerk.

H. Signature.

(1) All documents electronically filed that require a signature must include a person’s signature using one of the following methods:

(a) a graphic image of a handwritten signature, including an actual signature on a scanned

document; or

(b) the indicator “/s/” followed by the person’s name.

(2) A document that is signed and E-Filed must be subject to the terms and provisions of

Appellate 23(E). A Registered User may include the signature of other attorneys in documents

E-Filed with the court but in doing so represents to the court that any such signature is

authorized.

I. Time and Effect.

Subject to payment of all applicable fees, a document is considered E-Filed on the date and

time reflected in the Notice of Electronic Filing associated with the document. E-Filing must be

completed before midnight to be considered filed that day, and compliance with filing deadlines is determined in accordance with the time zone in the location of the court where the

case is pending. E-Filing under these rules shall be available 24 hours a day, except for times

of required maintenance.

J. Official Court Record.

The electronic version of a document filed with or generated by the court under this rule is an

official court record.

K. [Reserved]

L. Certain Court Records Excluded From Public Access.

With respect to documents filed in electronic format, the court may, by rule, provide for compliance with this rule in a manner that separates and protects access to Court Records

excluded from Public Access.

M. Inability to E-File.

(1) Indiana E-Filing System Failures.

(a) The rights of the parties shall not be affected by an IEFS failure.

(b) When E-Filing is prevented by an IEFS failure, a User or party may revert to conventional filing.

(c) When E-Filing is prevented by an IEFS failure, the time allowed for the filing of any document otherwise due at the time of the IEFS failure must be extended by one day for each

day on which such failure occurs, unless otherwise ordered by the Court.

(d) Upon motion and a showing of an IEFS failure the Court must enter an order permitting the document to be considered timely filed and may modify responsive deadlines

accordingly.

(2) Other Failures Not Caused by the User who was Adversely Affected. When E-Filing is prevented by any other circumstance not caused by the User who was adversely affected, the

User may bring such circumstances to the attention of the Court and request relief as

provided in Appellate Rule 35, or the User may revert to conventional filing.

Appendix

Appendix A. Standards for Preparation of Electronic

Transcripts

Effective January 1, 2022

(1) Page Size.

The Transcript shall be prepared using 8 ½ x 11 inch page size.

(2) Numbering.

(a) Each volume of the Transcript, including an exhibit volume, shall be independently and

consecutively numbered. All pages of the Transcript, including the front page (see Appendix A

(12)), shall be consecutively numbered at the bottom. Each volume shall begin with numeral

one on its front page.

(b) The lines of each page shall be numbered. Except as provided below, each page shall contain no less than twenty-five (25) lines unless it is a final page. Page numbers or header notations shall not be considered part of the 25 lines of text.

(c) Exception: A page break may be inserted before and after sidebar conferences, bench conferences, and hearings on motions. Court Reporters are required to reduce the page count

for billing purposes by one-half page for every page of Transcript that includes a sidebar conference, bench conference, or hearing on motions that is marked by such a page break.

(3) Margins.

The margins for the text shall be as follows:

Top margin: one (1) inch from the edge of the page.

Bottom margin: one (1) inch from the edge of the page.

Left margin: Text shall begin no more than one (1) inch from the edge of the page.

Right margin: Text shall end one (1) inch from the edge of the page.

(4) Indentations.

Certain text may be indented as follows:

(a) Q and A. All “Q” and “A” designations must begin at the left margin. A period following

the “Q” and “A” designation is optional. The statement following the “Q” and “A” must

begin on the fifth (5th) space following the “Q” or “A” (or period if used following the “Q” or

“A” designation). Subsequent lines must begin at the left margin.

(b) Depositions read at trial. The indentations for “Q” and “A” must be the same as

described above. In the Transcript, each question and answer read from a deposition

must be preceded by a quotation mark. At the conclusion of the reading, a closing quotation mark must be used.

(c) Colloquy. Speaker identification must begin on the tenth (10th) space from the left margin, followed immediately by a colon. The statement must begin on the third (3rd) space

after the colon. Subsequent lines must begin at the left margin.

(d) Quotations. Quoted material other than depositions must begin on the tenth (10th)

space from the left margin, with additional quoted lines beginning at the tenth (10th)

space from the left margin, with appropriate quotation marks used.

(5) Header Notations.

The Court Reporter shall note in boldface capital letters at the top of each page where a witness' direct, cross, or redirect examination begins. Header notations of other types of persons and/or events are permitted but not required. Listing the last name of the witness or

other party and the type of examination or other event is sufficient.

(6) Typeface and Line Spacing.

The font, which must be 12-point type or smaller, shall be one of the fonts listed in Appellate

Rule 43(D) and black in color. Lines shall be double-spaced.

(7) Interruptions of Speech.

Interruptions of speech must be denoted by the use of a dash at the point of interruption,

and again at the point the speaker resumes speaking.

(8) Reporting Verbal Expressions.

Except as noted below, the Transcript must contain all words and other verbal expressions

uttered during the course of the proceeding.

(a) Striking of Portions of the Proceeding.

No portion of the proceeding must be omitted from the record by an order to strike. The

material ordered stricken, as well as the order to strike, must appear in the Transcript.

(b) Editing of Speech.

The Transcript must provide an accurate record of words spoken in the course of proceedings. All grammatical errors, changes of thought, contractions, misstatements, and

poorly constructed sentences must be transcribed as spoken.

(c) Indiscernible or Inaudible Speech.

Every effort should be made to produce a complete Transcript; however, the Court Reporter

may label a portion of the Transcript “indiscernible” or “inaudible” if it is impossible to transcribe the record.

(d) Private Communications.

Private communications and off the record conversations inadvertently recorded must not be

included in the Transcript.

(e) Standard Summary Phrases.

(i) Call to Order, Swearing in, Affirmation of Witnesses or Jurors, and other customary introductory statements must be noted in the Transcript using standard summary phrases.

(ii) Standard summary phrases must appear in parentheses or brackets and begin with an

open parenthesis or bracket on the fifth (5th) space from the left margin, with the phrase

beginning in the sixth (6th) space from the left margin.

Examples: (Call to Order of the Court)

(The Jury is Sworn)

(The Witness is Sworn)

(The Witness is Affirmed)

(f) Identification of Speakers.

All speakers must be properly identified throughout the Transcript, initially by their full name,

thereafter by the following designations or courtesy titles, in capital letters indented ten (10)

spaces from the left margin.

The judge shall be identified as THE COURT

An attorney shall be identified as MR., MRS., MS., or MISS (last name)

A witness shall be identified as THE WITNESS

An interpreter shall be identified as THE INTERPRETER

The defendant in a criminal case shall be identified as THE DEFENDANT

(9) Speaker/Event Identification.

References to speakers and events that occur throughout proceedings must be properly

noted in capital letters and centered on the appropriate line.

Examples:

AFTER RECESS

DIRECT EXAMINATION

CROSS EXAMINATION

REDIRECT EXAMINATION

RECROSS EXAMINATION

FURTHER REDIRECT EXAMINATION

PLAINTIFF’S EVIDENCE

PLAINTIFF RESTS

DEFENDANT’S EVIDENCE

DEFENDANT RESTS

PLAINTIFF’S EVIDENCE IN REBUTTAL

(10) Parenthetical Notations.

Parenthetical notations must begin with an open parenthesis or bracket on the fifth (5th)

space from the left margin, with the remark beginning on the sixth (6th) space from the left

margin. Parenthetical notations in a Transcript are a Court Reporter’s own words, enclosed in

parentheses or brackets, recording some action or event. Parenthetical notations should be

as short as possible but consistent with clarity and standard word usage.

Parenthetical notations are used for (a) customary introductory statements such as a call to

order of court or swearing in a witness, and (b) indicating non-verbal behavior, pauses, and

readback/playback.

(a) The following parenthetical notations should be used to designate portions of proceedings:

(i) Proceedings Started, Recessed, and Adjourned, with Time of Day and Any Future

Date Indicated where Appropriate.

Examples:

(Recess at 12:00 p.m.)

(Recess at 12:00 p.m. until 1:30 p.m.)

(Proceedings concluded at 5:00 p.m.)

(ii) Jury In/Out.

Examples:

(Jury out at 2:15 p.m.)

(Jury in at 2:40 p.m.)

If a jury is involved, it is essential to indicate by the proper parenthetical notation

whether the proceeding occurred: in the presence of the jury, out of the presence of

the jury, out of the hearing of the jury, prior to the jury entering the courtroom, or after

the jury left the courtroom.

(iii) Defendant Present/Not Present. In criminal trials, this designation must be made if

not stated in the record by the judge.

(iv) Bench/Side Bar Conferences. This designation must note whether the bench/side

bar conference is on or off the record. If all the attorneys in court are not participating

in bench/side bar conference, the parenthetical notation must so indicate.

Examples:

(Bench conference on the record)

(Bench conference off the record with Mr. Johnson and Ms. Smith)

(At side bar on the record)

(At side bar)

(End of discussion at side bar)

(v) Discussions off the Record. This designation must note where the discussion took

place.

(vi) Chambers Conferences. This designation must note the presence or absence of

parties in chambers.

Examples:

(Discussion off the record in chambers with defendant not present)

(Discussion on the record in chambers with defendant present)

(b) The following parenthetical notations should be used for nonverbal behavior, pauses,

and readback/playback.

(i) Nonverbal Behavior, Pauses. Attorneys, and judges in some instances, should note

for the record any nonverbal behavior (e.g. physical gestures, lengthy pauses by witnesses). Parenthetical phrases may be used to indicate physical gestures to which attorneys or judges refer.

Examples:

(Nods head up and down)

(Shakes head from side to side)

(Indicating)

If an attorney or judge refers to a physical gesture, but the nature of the gesture is spe-

cified in the log notes, then the transcriber may use the parenthetical phrase “(inaudible response).”

(ii) Readback/Playback. All readbacks and/or playbacks and the party requesting must

be noted parenthetically as follows:

If the question and/or answer requested to be read or played back appears on the

same page as the request, the following parenthetical must be used: (The last question

and/or answer was read/played back)

If the question and/or answer, or both, appear on a previous page, the Court Reporter

should restate the question and/or answer in full, with appropriate quotation marks and

parentheses.

(11) Volume.

A Transcript volume shall be a single PDF or PDF/A file consisting of no more than two hundred fifty (250) pages. Each volume shall be numbered. All pages of the Transcript volume,

including the front page (see Appendix A(12)), shall be consecutively numbered at the bottom

starting with numeral one on each volume’s front page.

Multiple hearings shall be combined into a single volume until the volume reaches no more

than two hundred fifty (250) pages or fifty megabytes (50MB). A volume may be less than 250

pages to avoid splitting a hearing between volumes. If a single volume exceeds fifty megabytes (50MB), the number of pages may be fewer than two hundred fifty (250) pages. The

table of contents volume shall note each such instance of reduced page count.

(12) Front Page.

The front page of each volume shall conform to Form #App.R. 28-1.

(13) Table of Contents.

The Court Reporter shall prepare a table of contents for the entire transcript. Only one table

of contents should be prepared even if multiple hearings are transcribed. The table of contents shall list each witness and the volume and page where that witness's direct, cross, and

redirect examination begins. The table of contents shall identify each exhibit offered and

shall show the Transcript volumes and pages at which the exhibit was identified and at which

a ruling was made on its admission in evidence. The table of contents shall be a separate

volume.

(14) Index of Exhibits.

The Court Reporter shall prepare an index of all of the exhibits. The index of exhibits shall be

placed in the front of the first volume of exhibits and should not be included in any subsequent exhibit volumes. The index of exhibits shall identify each exhibit’s number or letter,

the name of the party that offered the exhibit into evidence, and the exhibit volume and page

number where the exhibit is located.

(15) File Formatting and Size.

The electronic Transcript must be saved in one (1) or more files in either searchable Portable

Document Format (“searchable PDF”) or in searchable Portable Document Format for Long-Term Preservation (“searchable PDF/A”). Each file must be no more than two hundred fifty

(250) pages or fifty megabytes[1] (50 MB). Each file must be named using the following con-

vention: CaseNumber-DocumentType-volume#.pdf (e.g., 53C031601MI00123-Transcript-

1.pdf, 53C031601MI00123-Transcript-2.pdf, 53C031601MI00123-Exhibit-1.pdf,

53C031601MI00123-Exhibit-2.pdf). Valid document types include: Table of Contents, Transcript, Index, and Exhibit.

(16) Electronic Storage Devices.

The Court Reporter shall transcribe the evidence on one or more sequentially numbered electronic data storage devices for each complete transcription. Approved media for electronic

storage include USB flash memory drives, compact discs (CDs), and digital versatile discs

(DVDs) specifically formatted to store electronic data in a File Allocation Table (FAT) or File

Allocation Table 32 (FAT-32) file system. CDs and DVDs should be prepared for distribution

(e.g., finalized, closed session) to ensure that the files can be opened by the Clerk. Each electronic data storage device shall be labeled or tagged to identify the names of the parties and

case number in the proceedings in the trial court; the Court on Appeal case number, if

known; the device sequence number, if more than one (1) device is required for a complete

Transcript; the signature of the Court Reporter.

(17) Original Version.

The Court Reporter shall retain a copy of the electronic Transcript in the original word pro-

cessing version used for the transcription.

(18) Signature.

All electronic documents that require a signature must include a person’s signature using one

of the following methods:

(a) a graphic image of a handwritten signature, including an actual signature on a scanned

document; or

(b) the indicator “/s/” followed by the person’s name.

(19) Malware.

The Court Reporter shall take reasonable steps to ensure that the Transcript and other files

do not contain malicious software (“malware”), such as viruses, worms, and Trojan horses.

Any files that contain malware will be rejected. Rejection of a filing because it contains malware will not necessarily excuse a late filing.

Appendix B. Tendered Documents That Do Not

Comply with the Indiana Rule of Appellate Procedure.

Effective January 1, 2020

(1) A Notice of Defect may be issued if one or more of the following is missing, insufficient, or

incomplete.

(a) A certificate of service, see Ind. Appellate Rules 24, 57(G)(7), 68(F);

(b) A word count certificate, see App. Rs. 34(G)(2), 44(E) & (F), 54(E), 57(G)(6);

(c) A table of contents or table of authorities, see App. Rs. 46(A)(1) & (2), 46(B), 46(E)(1), 50

(A)(2), 50(B)(1), 50(C), 57(G)(2);

(d) For any document filed after the Notice of Appeal, a filing fee or material required by

Appellate Rule 40; see App. Rs. 9(E), 40, 56(B), 63(P);

(e) For a motion to proceed in forma pauperis, a copy of any affidavit supporting the

request to proceed in forma pauperis that was filed with the trial court or an affidavit con-

forming to Form #App. R. 40-2; or a copy of the order setting forth the trial court’s reasons

for denying the in forma pauperis status on appeal;

(f) Document was tendered without first filing an appearance, see App. R. 16;

(g) For an Appendix, a verification of accuracy, see App. Rs. 50(A)(2)(i), 50(B)(1)(f);

(h) For an Appellant’s Brief, an accompanying copy of the trial court’s written opinion,

memorandum of decision, or findings of fact and conclusions relating to the issue(s)

raised in appeal, see App. R. 46(A)(12);

(i) For an Appellant’s Brief in a criminal appeal where the sentence is at issue, an accompanying copy of the sentencing order, see App. R. 46(A)(12);

(j) For a Petition to Transfer, a brief statement, set out by itself on the page immediately

following the front page, identifying the issue, question presented, or precedent war-

ranting transfer, see App. R. 57(G)(1);

(k) For a Petition for Review or brief in response, a brief section entitled Reasons for Granting or Denying Review, set out by itself immediately before the Argument section, explain-

ing why review should or should not be granted, see App. R. 63(I).

(l) For a non-public access version of a document, a conspicuous designation of “Not for

Public Access” or “Confidential” on the first page, see App. R. 23(F)

(2) A Notice of Defect may be issued if one or more of the following prohibited items is

included:

(a) For any Brief, any additional documents, other than the appealed judgment or order,

see App. Rs. 46(F), 46(H);

(b) For any document, information excluded from public access when the document is not

accompanied by a Notice to Maintain Exclusion from Public Access, see App. R. 23(F)(3).

(3) A Notice of Defect may be issued if the document is otherwise defective because:

(a) Document Production issues exist, except for hyperlinks, which may appear in a color

other than black, see App. Rs. 43(C), 51(A), and/or 54(F);

(b) Page numbering issues exist, see App. Rs. 23(F)(3)(b), 34(G), 43(F) and/or 51(C);

(c) The document was conventionally filed but should have been electronically filed

through the Indiana E-Filing System, see App. R. 68(C).