Filing (law)

In the legal world, filing is a specific and vital procedure. It is the act of delivering a document to a court clerk. The clerk must then accept that document for the official record. This process is different from lodging a document. Lodging occurs when a clerk temporarily holds a paper but does not accept it for the official record. Without proper filing, courts may not consider important legal motions. Most courts also require a filing fee to help cover the costs of running the court system.

Legal systems use different rules to decide when documents must be filed. These are known as mandatory or permissive filing systems. In a mandatory system, parties must file all important documents at the same time they exchange them. The United States federal courts use this mandatory approach for most things. In a permissive system, parties do not have to file documents until a trial is very close. Some lower courts in New York still use this traditional permissive method. In these cases, a legal matter might settle and end without the court ever having a record of it.

The history of filing shows how much legal management has changed. From the reign of Edward IV in the late 1400s until the late 1990s, England and Wales used a different method. Their trial courts did not keep large files before a trial started. Instead, parties would lodge two copies of their pleadings with the court. One copy was for the judge to use personally. The other copy was only officially filed after the trial ended. This was done to create a permanent record of the issues that were decided at trial.

Traditional filing involves several careful steps performed by a court clerk. A person usually visits a filing window to submit their documents. They may pay the required fee using cash, a check, or a credit card. The clerk must inspect the document to ensure it follows all formatting rules. The clerk also verifies the case number and checks that the filer is not a vexatious litigant. A vexatious litigant is someone who uses the legal system in an improper way. Once everything is correct, the clerk stamps the document with the court name and the date.

Clerks often handle multiple copies of a single document. They keep the original for the court's official files. They may return a "conformed copy" to the filer. This copy is stamped to show it matches the original document. This allows the filer to use it as evidence of their filing later. In some courts, a third copy is sent directly to the judge's chambers. The clerk also updates the docket, which is the official list of events for a case. If the document is a complaint, the clerk opens a new file and assigns a case number.

Modern technology has introduced a new method called electronic filing, or e-filing. Lawyers can now upload digital files, such as PDF documents, to secure websites. The United States uses a system called CM/ECF for this purpose. Private companies like LexisNexis also provide these digital services. E-filing is very convenient because courts can accept documents at any hour. However, some courts still require a "courtesy copy." This is a paper version sent to the judge's office by the next business day. The judge uses this paper copy to make decisions before discarding it.

Filing fees are often a subject of debate in the legal community. Some people argue that these costs prevent citizens from accessing justice. For example, filing a complaint in Los Angeles costs $435. In many systems, the fee is proportional to the amount of money being sought. This means larger legal claims require much higher fees. This can be very difficult for people who have suffered significant harm. In some cases, fees can even lead to bankruptcy for a plaintiff. This issue of fairness was addressed in the 2004 U.S. Supreme Court case, Republic of Austria v. Altmann.