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Case/Management Electronic Case Filing: A Case Study RACO May 12, 2005

Case/Management Electronic Case Filing: A Case Study

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Case/Management Electronic Case Filing: A Case Study. RACO May 12, 2005. Overview. Case Management/Electronic Case Filing (CM/ECF): the changing paradigm of records management and case management. Lessons learned. Marketing tips. What is CM/ECF?. - PowerPoint PPT Presentation

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Page 1: Case/Management Electronic Case Filing: A Case Study

Case/ManagementElectronic Case Filing:

A Case StudyRACO May 12, 2005

Page 2: Case/Management Electronic Case Filing: A Case Study

OverviewCase Management/Electronic Case Filing (CM/ECF): the changing paradigm of records management and case management.Lessons learned.Marketing tips.

Page 3: Case/Management Electronic Case Filing: A Case Study

What is CM/ECF? A case management/electronic case filing system for litigation in federal courts developed by the Administrative Office of the United States Courts.Currently implemented in about 70 United States District Courts and 85 United States Bankruptcy Courts.Full scale implementation expected in District and Bankruptcy jurisdictions by the end of 2005.

Page 4: Case/Management Electronic Case Filing: A Case Study

CM/ECF CapabilitiesFiling

Direct Internet connection to file through court Website using username and password.

AccessReal time access to court docket and documents on the court website.

Notice of case eventsElectronic notice of case events,e.g. filing by other parties, result in automatic generation of e-mail to attorney of record.

Page 5: Case/Management Electronic Case Filing: A Case Study

Business Process Reengineering

Complete change in document workflow.Complete change in document native format.Complete change in storage/search and retrieval needs and capabilities.Complete change in required skill sets for users.

Page 6: Case/Management Electronic Case Filing: A Case Study

The ApproachDOJ/ECF Program

Project E-File - TransitionProject ECFS- New systems developmentLabworks – Lab testing environment

Page 7: Case/Management Electronic Case Filing: A Case Study

Records Management Quandary!

System designed as a case management system for benefit of the courtsShort term – mixed cm/ecf files and paper files.Long term – All electronic content/electronic litigation documents/electronic data management.No records management plan or system for electronic records.Current records management for DOJ is to print paper and file.

Page 8: Case/Management Electronic Case Filing: A Case Study

Records Management Issues…

Document workflow – shift from paper mail receipt to e-mail receipt in environment without e-mail workflow software.

Issue: Must manually manage receipt by using e-mail rules and multiple recipient addresses to receive e-mail. What information is necessary to retain to meet FRA requirements?

Page 9: Case/Management Electronic Case Filing: A Case Study

RM Issues…There is no document or case management system that manages the filing of pdf documents at the court website.

Issue: What information and in what format should the filer retain the filing information that must be maintained as record ?

Page 10: Case/Management Electronic Case Filing: A Case Study

RM Issues…All original signatures become images in the pdf files.

Issue: Is maintenance of the original signature required and by whom? Are there then two records—the filed version and the original?All documents filed are converted to portable document format.

Issue: Which version is the user’s record, the original or the pdf, or both?

Page 11: Case/Management Electronic Case Filing: A Case Study

RM Issues…Judicial Conference Privacy Policy requires that certain personal information must be redacted from filed documents.

Issue: There are now two records for retention by the filer—the original and the redacted version. Does the filer have to retain both or is the redacted version filed with the court sufficient to meet all requirements?

Page 12: Case/Management Electronic Case Filing: A Case Study

RM Issues… There is not yet an electronic records management system in place.Issue: Users must print all record material and file in conventional paper file while they predominantly use the digital file for communication. The result is the cost of running parallel business processes.

Page 13: Case/Management Electronic Case Filing: A Case Study

The Future ECFS: Business Process Analysis

Litigation workflowsCapacity analysisRecommendation on automating litigation process – document, records and case management, signatureConcept of operations

Page 14: Case/Management Electronic Case Filing: A Case Study

Lessons LearnedA complete business process reengineering/virtually all business rules regarding communication of information change.All information formats change.Records management should be included at the beginning as part of the communication and information flow system.Vision must expand from that of a data or record repository to a communication system.

Page 15: Case/Management Electronic Case Filing: A Case Study

Lessons LearnedThere are significant costs associated with running parallel processes.Chosen approach should seek to enhance users everyday business use as well as to satisfy records retention responsibilities.

Page 16: Case/Management Electronic Case Filing: A Case Study

Marketing Tips: Business needs

Legal – Federal Records Act, FOIA, Privacy Act, E-government Act, other statutory, regulatory, rules mandates, agency policies and proceduresCase strategy/automated litigation supportPractical business use – Efficient information sharing, research reuse, institutional knowledgeRecord ownership/control of the record

Page 17: Case/Management Electronic Case Filing: A Case Study

Questions?