Filing (law)

Lore & Background

Filing traditionally involves visiting a clerk at a filing window, paying a fee, and submitting documents in duplicate or triplicate. The clerk inspects the document for compliance with formatting rules, verifies the filer is not a vexatious litigant, and confirms the case number and caption. The clerk stamps both copies with the court name and date, keeps one for the court file, and returns one to the filer. In some jurisdictions, duplicate copies are stamped 'file-conformed' rather than 'filed'. For triplicate submissions, the third copy goes to the judge's chambers. If the document is the first pleading, the clerk assigns a new case number and opens a new file.

Reader's Guide

Filing is a foundational act in civil procedure, determining when a court will consider a motion or case. The distinction between mandatory and permissive filing systems shapes how litigation proceeds: in mandatory systems like U.S. Filing fees, which are part of court costs, are controversial because they may impede access to justice. Some systems impose fees proportional to the amount sought, and courts may waive only the excess over a plaintiff's total assets, potentially forcing a meritorious plaintiff into bankruptcy. Electronic filing has emerged, allowing uploads at all hours, though a paper courtesy copy may still be required for the judge's chambers.

Did You Know?

• A document delivered to a clerk but not accepted for filing is said to be lodged or received, not filed.
• In the United States, New York uses a 'commencement by service' system rather than a permissive filing system; a 1992 reform introduced mandatory filing for certain actions in some courts, but did not create a statewide
• Electronic filing allows lawyers to upload PDF documents to a court-maintained or private commercial website, with the electronic file becoming the court's master copy.

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