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REQUEST FOR QUALIFICATIONSFOR

PROFESSIONAL SERVICES

ELECTRONIC FILING SYSTEM

ISSUED BY:

THE OFFICE OF THE CLERK OF THE CIRCUIT COURT

OF

COOK COUNTY

November 21, 2007

Cook County, IL Govt, 11/19/07,

Insert the issue date of November 21, 2007

DRAFTREQUEST FOR QUALIFICATIONS FOR PROFESSIONAL / ELECTRONIC FILING

SYSTEM

ISSUED BY OFFICE OF THE CLERK OF THE CIRCUIT COURT OF COOK COUNTY

BACKGROUNDAll projects undertaken by the County require the services of qualified and/or licensed professionals (Consultants). Some projects also require the services of a separate Program Manager and/or a Construction Manager.Consultants are selected for each project on the basis of their experience, qualifications and fee proposals submitted for a specific project. Consultants also provide administration for the construction work phase of projects. Construction work is competitively bid out by the Cook County Purchasing Agent using bid documents developed by the Consultant.

REQUEST FOR QUALIFICATIONS (RFQ)

Cook County is currently qualifying firms for addition to a pool of companies with specialized skills that the County may require from time to time. Projects range from small studies to the design and construction administration of large buildings.

Firms interested in providing services to the County are invited to submit a Statement of Qualifications on the form provided in that section of this Request for Qualifications. Firms currently performing work for the County will also need to submit a Statement of Qualifications to be considered for addition to the pool.

DISCLAIMER: This is a Request for Qualifications only. It is not a guarantee on the part of the County that a firm will be added to the pool of firms or that the County will provide work to the respondent. All costs incurred by any firm in preparing and transmitting a response to this request are solely the responsibility of the respondent. The County reserves the right to modify the requirements set forth in this Request for Qualifications and / or to request additional information from a respondent.

EXPERTISE REQUIRED

This Request for Qualifications (RFQ) seeks proposals and statements of qualifications from vendors to implement the most cost-effective, technologically sound, scalable, and state of the art Electronic Filing System to handle the electronic transmission and review of court documents filed in all divisions and districts of the Office of the Clerk of the Circuit Court. Please note that the Clerk’s Office is seeking a managed service that will be provided at no direct cost to the Clerk’s Office or Cook County. Under the desired business model, the entire project will be funded by “convenience fees” or charges charged to and paid by the system users. Special expertise and qualifications include the following:

Experience in providing managed full service electronic filing services funded by customer transaction fees in one or more jurisdictional areas comparable in size and population to Cook County, Illinois;

Experience in providing managed electronic filing service that includes full document manage and storage functionalities, remote public access to court dockets and full document images, and subscription-based document and docket access;

Hosts data center with industry standard security and redundancy; Experience in hosting managed service electronic filing system that meets all of the requirements set

forth in Appendix A and its attachments.

DRAFT

The vendor’s response will provide detailed information sufficient for the Clerk’s Office to determine whether the vendor is competent and qualified to provide a fully functional electronic filing system that meets or exceeds all of the requirements set forth herein. In addition to completing all required sections of the RFQ, Vendors should submit detailed narratives specifically stating how the proposed managed service electronic filing system works and how it satisfies all of the requirements as well as those set forth in the Illinois’ Supreme Courts “Policy for Implementation of an Electronic Filing Pilot in Illinois Courts” (Exhibit A) and the Clerk’s Office’s “Amended Application for Approval of an Electronic Filing Pilot Project for the Circuit Court of Cook County, Illinois” (Exhibit B). The vendors should submit responses which state in detail exactly how their electronic filing system operates and how it meets or exceeds all of the requirements set forth in this document and its attachments.

GENERAL PROVISIONS

This section of the RFQ summarizes some, but is not limited to, requirements that are part of any Agreement with the County for professional and / or other consulting services. Any firm wishing to provide services to the County must be able to comply with the provisions set forth in this section.This section is not fully representational of all contractual clauses contained in the County’s Agreements and shall not be construed as such. A complete ‘Sample Agreement’ is included with actual Requests for Proposals that are issued by the Office of the Purchasing Agent.

MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES

Certified Minority Owned Business Enterprises and Women Owned Business Enterprises are encouraged to respond to this Request for Qualification (RFQ). Firms that meet the requirements for and are interested in being certified should contact the Cook County Office of Contract Compliance (312.603.5502).

MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISE ORDINANCE

The County Board of Commissioners has adopted a Minority- and Women-owned Business Enterprise Ordinance (the "Ordinance") which establishes a "best efforts" goal of awarding not less than thirty-five (35%) of the annual total dollar amount of professional and consulting service contracts and sole source agreements to certified MBEs and WBEs. Firms submitting a Statement of Qualifications in response to this RFQ shall be willing to commit to this policy.

FINANCIAL CAPACITY

Firms wishing to provide services to the County shall be financially solvent, able to pay its debts as they mature and possesses sufficient working capital to complete the services required and perform the obligations hereunder based on timely payments by the County.

ABILITY TO PERFORM

Firms wishing to provide services to the County shall be able to furnish the materials, supplies, equipment and labor required to complete the professional services contracted for, perform all of its obligations and have sufficient experience and competence to do so. All personnel provided by the Consultant, under Agreement with the County, for any project shall be qualified by training and experience to perform their assigned tasks.

INSURANCE REQUIREMENTS / CONSTRUCTION

DRAFTFirms wishing to provide services to the County shall maintain during the term of any Agreement with the County insurance coverage which will satisfactorily insure them against claims and liabilities which could arise in connection with this Agreement. The forms of coverage, limits of liability, deductibles or self-insured portions, insurance provider and premium for such insurance coverage is subject to the County’s prior review and approval. The minimum insurance coverage required is as follows:

1. Contractor shall purchase and maintain during the term of this Contract insurance coverageWhich will satisfactorily insure him against claims and liabilities which could arise because ofPerformance of the Contract.

INSURANCE REQUIREMENTS (continued from previous page)

2. Worker's Compensation Insurance covering any and all claims which may arise because of the Worker's Compensation and Occupational Disease Acts of the State of Illinois. The employer's liability section of the Worker's Compensation policy shall have a limit of not less than $500,000.00 each Accident, $500,000.00 each Employee, $500,000.00 policy limit for disease and Broad form all states coverage.

3. Commercial General Liability insurance protecting against public liability claims which may arise in the course of performance of this Agreement with a combined bodily injury and property damage limit of $1,000,000.00 per occurrence and $1,000,000.00 aggregate.

4. Comprehensive Automobile Liability Insurance, including employers non-ownership and hired car coverage, protecting against automobile claims whether on or off the County’s premises with bodily injury limits of not less than $1,000,000 per person and $1,000,000 per occurrence and property damage limits of not less than $1,000,000 per occurrence. The uninsured motorists insurance shall be in accordance with Illinois requirements.

5. Valuable Papers Insurance in an amount not less than $500,000 to cover any loss occasioned by fire, theft or any other cause.

6. Umbrella Excess Liability Insurance with limits of not less than $1,000,000.00 for each occurrence for all liability and $1,000,000.00 in the aggregate per policy year.

EVALUATION PROCESS

Statements of Qualifications submitted in response to this RFQ will be evaluated by the County which shall have sole power and discretion to determine the qualifications and capabilities of the submitters

1. Respondents must provide all documentation requested in the Statement of Qualifications form included with this RFQ. If any documentation is omitted, the submitted Statement of Qualifications may be deemed non-responsive and eliminated from consideration.

2. Respondent must be an established company with the professional qualifications and experience necessary for the service(s) they are responding for and possess all appropriate up-to-date licenses and certifications that are issued by various agencies governing or pertaining to their business.

DRAFT3. Respondent must have verifiable references. The County may solicit relevant information

concerning the respondent’s record of performance from current and previous clients or from other available sources.

SELECTION PROCESS

The County reserves the right to conduct interviews with any respondent (submitter) in order to review and ascertain qualifications. The County may require clarification from a submitter at any time. Failure by a submitter to respond promptly may be deemed cause for elimination. Alternately, the County may add a respondent to the professional services pool without an interview. Interviews are at the sole discretion of the County.

The County reserves the right at any time and for any reason to cancel this Request for Qualifications, or to reject any, some, or all of the responses. The County also reserves the right to waive any immaterial defect in any RFQ response (Statement of Qualifications).

STATEMENT OF QUALIFICATIONS

Respondents to this Request for Qualifications shall complete the following Statement of Qualifications form included in this RFQ and submit the form as required in the instruction sheet. Use the form provided by the County with this RFQ. Do not substitute forms.

DRAFTINSTRUCTIONS

FOR COMPLETING AND SUBMITTING THESTATEMENT OF QUALIFICATIONS FORM

DUE DATE

Statements of Qualifications must be received in the Office of the Clerk of the Circuit Court of Cook Countyby Time: Before 5:00 P.M., Date: December 5, 2007.

SUBMITTAL 1. Submit four (4)-copies of the Statement of Qualifications in a sealed legal size envelope. 2. Address the envelope to:

Director Nicole Sims, Project OfficeUsing Department: Clerk of the Circuit Court – Management Information SystemsAddress: 69 W. Washington, 25th FloorCity, State, Zip Code: Chicago, Illinois, 60602Phone: (312) 603-5265Email Address: [email protected]

3. In the upper left hand corner of the envelope put your firm’s name and address. 4. In the lower left hand corner of the envelope write ‘STATEMENT OF QUALIFICATIONS’ 5. All submittals will be stamped by the County with the date of receipt.

INSTRUCTIONS FOR COMPLETING THE STATEMENT OF QUALIFICATIONS 1. Remove and complete the attached Statement of Qualifications. a. Do not substitute this form with any other. Use only the County form. b. Do not include this instruction sheet in the submittal.

2. Type or print neatly to complete the forms. Information must be legible. 3. Use the forms ‘as-is’. Do not reformat the forms, the questions or the order of the pages. 4. Complete all of the forms (with notarizations or seals if any are required). 5. Attach any additional information requested in the order requested. 6. If your firm has any brochures or special literature it would like to submit as part of the Statement of Qualifications, attach this information to the back of the submittal. This is optional.

IMPORTANT: Complete all information in the forms even if it is already Included in your firm’s literature.

7. Organize and submit the completed Statement of Qualifications in the page order specified. Insert any additional attachments and/or information provided by your company only at the back. 8. Include the ‘Statement of Qualifications’ cover page provided in this section 9. Include a cover letter on your firm’s letterhead.

CONTINUE TO THE ATTACHMENT: STATEMENT OF QUALIFICATIONS FORMIMPORTANT: Failure to provide any information requested on this form may disqualify the submitting firm from further consideration. All contact and other information must be verifiable.


Insert email address


Change due date to December 5, 2007

DRAFT

STATEMENT OF QUALIFICATIONSPREPARED FOR

COOK COUNTY

__________________________________

FIRM NAME:

RECEIVEDTHIS AREA FOR COUNTY USE ONLY

DRAFT

STATEMENT OF QUALIFICATIONS GENERAL INFORMATION & SIGNATURE PAGE

SHEET 1 OF 3PART A FIRM NAME: STREET ADDRESS: CITY/STATE/ZIP:

PART BPRIMARY SPECIALTY

FROM PAGE 1 OF THE RFP. LIST OTHER SKILLS BELOW.

SUB-SPECIALTIES

PART CBUSINESS ORGANIZATION: □ Sole Proprietor

□ Partnership□ Limited Liability Company□ Corporation: State of Incorporation_____ Date: ______

PART DGENERAL 1. How many years has your firm been in business? ___________

2. How many professional employees does your firm have? ___________3. What is the overall ratio of managers to personnel? ___________ 4. List below all pertinent professional organizations and associations of which your firm is a member:

STATEMENT OF QUALIFICATIONS FORM Page 1 of 11

DRAFT


SHEET 2 OF 3

PART EIS YOUR FIRM: 1. A Certified Minority-Owned Business Enterprise? YES □ NO □

2. A Certified Woman-Owned Business Enterprise? YES □ NO □3. Willing to comply with the Cook County ('Ordinance') goal of awarding not less than thirty-five (35%) of the annual total dollar amount of professional and consulting service contracts and sole source agreements to certified MBEs and WBEs? YES □ NO □

PART FYOUR FIRM 1. Has your firm ever been terminated for cause? YES □ NO □

2. Has your firm ever defaulted on a contract? YES □ NO □3. Has your firm or any related or affiliated entity, ever been adjudged a bankrupt, been subject to a receivership or an order of reorganization or other similar action involving the rights of creditor's against vendors? YES □ NO □3. Is your firm at this time subject to any court order relating to bankruptcy, receivership, liquidation, reorganization, or similar relief? YES □ NO □

FOR ITEMS 1 THROUGH 4 ABOVE:Attach an explanation and details to this page for any"YES" answer. Explanations and details should beconcise and comprehensible

PART G

1. Attach following items to the end of this Statement of Qualifications form.

a. A list of your firm's Principals and their resumesb. Your firms latest annual financial statement or reportc. Your company brochure (OPTIONAL)

CONTINUE TO SIGNATURE PAGE

STATEMENT OF QUALIFICATIONS FORM

Page 2 of 11

DRAFT


SHEET 3 OF 3

By submitting this Statement of Qualifications:

1. I declare that this Statement of Qualifications has been examined by me and to the best of my knowledge and belief contains, true, correct and complete information.2. I acknowledge that the Request for Qualifications (RFQ) issued by Cook County and the subsequent acceptance by the County of any Statement of Qualifications is not an offer, and is not a guarantee of work by the County, or with the County.3. I understand that the RFQ issued by Cook County is not a sample of contract term or a scope of work for any specific project.4. I understand that should my firm be offered work by the County at some future date, additional qualifications and information may be requested by the County.5. I understand that the County may require interview's) and additional information relevant to this Statement of Qualifications.6. I give permission for Cook County to contact references provided by my firm for the purposes of verifying any information provided in this Statement of Qualifications.

NAME: PRINT / TYPE NAME OF AUTHORIZED OFFICER / REPRESENTATIVE

TITLE: PRINT / TYPE TITLE OF AUTHORIZED OFFICER / REPRESENTATIVE

SIGNATURE: WRITTEN SIGNATURE OF OFFICER / REPRESENTATIVE

TELEPHONE: FAX:

E-MAIL:


Page 3 of 11

DRAFT

STATEMENT OF QUALIFICATIONS PART H

PROJECT DETAILS AND REFERENCES

THREE (3) PROJECTS

Provide detailed information on pages 5 through 7 for three (3) separate projects successfully completed within the last five years including reference contacts from the Owner or each project.

● All references shall have up-to-date contact numbers and shall be verifiable

● Complete all information on the three (3)-forms provided for Part H. All Information must typed / printed, clear and legible.

● List below the names of the three projects you are providing detailed information in Part H. (pages 5 through 7)

1

2

3


DRAFT

PART H STATEMENT OF QUALIFICATIONS PROJECT DETAILS AND REFERENCES - NO. 1 OF 3

Provide details for a minimum of three (3) projects successfully completed in the last five years andthe project contacts. The projects may be in the Private or Public Sector. References must beverifiable.

PROJECT INFORMATION

Project Name: Project Location: Project Description:

Project Executive: Project Manager:

Was your firm a (check one): □ The Prime Consultant □ A Subconsultant

List the types of key personnel from your firm that participated in this project:

CHECK THE TYPES OF SERVICES YOUR FIRM PERFORMED FOR THIS PROJECT

□ Field Verifications □ Design □ Construction Observation □ Field Testing (Haz. Mat./Other □ AutoCAD □ Construction Management □ Programming □ Other (List below) _____________________________________________________________________________ _____________________________________________________________________________

BUDGET SCHEDULE

Original Budget: Original Duration: Final Budget: Actual Duration:

CLIENT INFORMATION Client: Address: Client Reference: ___________________ ________________ _____________________

Name Title Area Code & Phone #


DRAFT



PROJECT INFORMATION







BUDGET SCHEDULE





Page 6 of 11

DRAFT



PROJECT INFORMATION







BUDGET SCHEDULE





Page 7 of 11

DRAFT

STATEMENT OF QUALIFICATIONS PART I

PROJECT SUMMARY (OPTIONAL)

SIX (6) PROJECTS

Provide summaries on pages 9 through 11 for six (6) projects successfully completed within the last 10 years. The completion of this Part I is optional.

● Complete all information on the two (2)-forms provided for Part I. All information must be typed / printed, clear and legible. ● The County reserves the right to request reference and contact information for these projects. ● Do not include any projects already provided in Part H. (pages 4 through 7) ● List below the names of the six projects you are providing detailed information for in Part I. (pages 9 through 11)

1

2

3

4

5

6

CONTINUE TO PROJECT SUMMARY SHEETS


Page 8 of 11

DRAFT

STATEMENT OF QUALIFICATIONS PART I (OPTIONAL)

PROJECT SUMMARY SHEET 1 OF 3

List 6-PROJECTS SUCCESSFULLY COMPLETED WITHIN THE PART 10 YEARS(DO NOT INCLUDE PROJECTS ALREADY PROVIDED)

PROJECT SUMMARY NO. 1

Project Name: City _____________ State ___________Project Owner: Budget ___________ Duration _________Description:


List the services your firm provided for this project:

Check all that apply for this project:

□ Private □ Public Sector □ Industrial □ Commercial□ _______________








Page 9 of 11

DRAFT

















Page 10 of 11

DRAFT





Project Name: City _____________ State ___________

Project Owner: Budget ___________ Duration _________

Description:

Was your firm a (check one):□ The Prime Consultant □ A Subconsultant



□ Private □ Public Sector □ Industrial □ Commercial□ ______________


Project Name: City _____________ State ___________

Project Owner: Budget ___________ Duration _________

Description:

Was your firm a (check one):□ The Prime Consultant □ A Subconsultant



□ Private□ Public Sector □ Industrial □ Commercial

□ _______________


Page 11 of 11

DRAFT - Request for QualificationsAppendix A

This Request for Qualifications (RFQ) seeks proposals and statements of qualifications from vendors to implement the most cost-effective, technologically sound, scalable, and state of the art Electronic Filing System to handle the electronic transmission and review of court documents filed in all divisions and districts of the Office of the Clerk of the Circuit Court (“Clerk’s Office”). Please note that the Clerk’s Office is seeking a managed service that will be provided at no direct cost to the Clerk’s Office or Cook County. Under the desired business model, the entire project will be funded by “convenience fees” or charges charged to and paid by the system users.

The vendor’s response will provide detailed information sufficient for the Clerk’s Office to determine whether the vendor is competent and qualified to provide a fully functional electronic filing system that meets or exceeds all of the requirements set forth herein. In addition to completing all required sections of the RFQ, vendors must submit detailed narratives specifically stating how the proposed managed service electronic filing system works and how it satisfies all of the requirements as well as those set forth in the Illinois’ Supreme Courts “Policy for Implementation of an Electronic Filing Pilot in Illinois Courts” (Exhibit A) and the Clerk’s Office’s “Amended Application for Approval of an Electronic Filing Pilot Project for the Circuit Court of Cook County, Illinois” (Exhibit B). Vendors should submit responses which state in detail exactly how their electronic filing system operates and how it meets or exceeds all of the requirements set forth in this document and its attachments.

A. Background and Overview

The Clerk of the Circuit Court of Cook County is statutorily responsible for recording, certifying and managing the Circuit Court of Cook County’s records. The statutory framework setting forth the Clerk’s responsibilities can be found in the “Clerk of Court’s Act”, 705 ILCS 105/. The mission of the Clerk’s Office is to serve the citizens of Cook County and the participants in the judicial system in a timely, efficient and ethical manner. The Clerk’s Office consists of several bureaus/divisions/suburban districts responsible for a variety of tasks. While duties and operational procedures vary from one division to the next, every division within the Clerk’s Office shares the common goal of providing professional, timely and customer-focused services to its customers. The Clerk’s Office currently maintains the official court records in hard copy files located throughout the Clerk’s Office operational facilities. To enhance its recordkeeping functions, the Clerk’s Office utilizes various electronic, computerized case management systems in its computing environment. As more fully explained herein, the system must enable the electronic filing of certain civil contract and tort cases integrated with the Clerk’s Office case management and document management system. Additional information can be found on the Clerk’s Office website at (www.cookcountyclerkofcourt.org).

The Administrative Office of Illinois Courts (“AOIC”), the administrative body for the Illinois Supreme, Appellate and Circuit Courts, promulgated a Policy for Implementation of an Electronic Filing Project in Illinois’ Courts (“AOIC Project Policy”), a copy of which is attached hereto. The purpose of this RFQ is to solicit sealed submissions setting forth specific details showing that the vendor is competent and qualified to provide electronic filing as a managed service to the Clerk’s Office according to and in compliance with the standards and criteria set forth in the AOIC Project Policy and those set forth in this document.

The electronic filing project shall initially encompass only Commercial Litigation cases filed in the Law Division. (L – Law, LM – Law Under). Commercial Litigation cases which are a subset of cases filed in the Clerk’s Office-Law Division. The jurisdictional amount for commercial litigation cases in Law Division is damages in excess of $30,000. The commercial litigation cases include, but are not limited to, the following: breach of contract; professional malpractice (other than legal or medical); fraud; consumer fraud; breach of warranty; certain statutory actions; retaliatory discharge; and other cases identified as commercial litigation by the plaintiff or his/her representative. Generally, commercial litigation cases are

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http://www.cookcountyclerkofcourt.org/


filed on behalf of a plaintiff by an attorney. Cases are initiated with the filing of a complaint with a “Civil Action Cover Sheet” (Clerk’s Office Form CCL 0520 (Rev. 5/7/02). The cases are categorized as commercial litigation cases based on the filer checking the appropriate box on the Civil Action Cover Sheet. Commercial litigation cases are generally major cases with full motion practice and discovery.

The Clerk’s Office is seeking a vendor who will provide the electronic filing system as a managed service through the Clerk’s Office website. For purposes of this RFQ, an “electronic filing system” is defined as an information and transaction processing system where:

1. The system will be a managed service provided at no cost to the Clerk’s Office. The system will be funded through a convenience fee paid by the filers either to file and/or serve documents, or to access and/or print documents or document related data. The system shall also enable the Clerk’s Office to charge its own convenience fee to the filers. The Clerk’s Office convenience fee will be collected by the vendor. Filers will be able to pay filing, access and convenience fees using credit and/or debit cards.

2. Prospective electronic filers submit registration information through the managed service and the managed service provides the Clerk’s Office the functionality to approve (or reject) the registration, and to communicate such decision to the registrant. The system should allow the Clerks’ Office to collect a registration fee. The system should also assign a unique user name and password to each approved registrant.

3. The system will restrict electronic filing to those persons who enter a valid unique user name and password.

4. Case filing pleadings, and related forms and documents may be transmitted, by registered users, to and received by the Clerk’s Office electronically. The system will provide a file stamp functionality that emulates the file stamp currently used by the Clerk’s Office and that is configurable by authorized Clerk’s Office users so that they can change certain variable such as date and time of filing as necessary and authorized. The file stamp will also be able to include case number and calendar/judge information, as required by the Clerk’s Office. The file stamped copy will be sent to the filer and other designated parties upon acceptance by the Clerk’s Office.

5. The system will permit the Clerk’s Office to accept all types of authorized filings including filings that initiate a new case. With regard to case initiations, the system will interface with the Clerk’s Office cashiering system to send filing information and fee payment information and to receive a newly generated case number and calendar/judge information.

6. The system will permit case pleadings and related forms and documents filed electronically to be indexed and stored in a document management system that is part of the electronic filing system. In addition, the system will permit electronically filed documents to be printed for filing in the official court file. The system will have document management and access functionality to permit users to access the Clerk’s Office electronic docket and full document images from personal computers or thin clients located within the Clerk’s Office LAN or from remote users through the Internet. The system will permit authorized users to view and print filed documents from the document management system both individually and in a batch process.

7. The electronic filing system will permit the Clerk’s Office to scan conventionally filed (paper) documents to an image that can be stored and indexed in the document management system.

8. Data from electronically filed documents and forms are extracted to populate the Clerk’s Office case management systems.

9. Filers, the Clerk’s Office and courts can electronically send notices and service to other parties.10. Filing status tracking and statistical information are reported electronically.11. Billing and collection of court filing fees for electronically filed cases are handled electronically,

including interfacing with the Clerk’s Office cashiering system and financial management system.

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The electronic filing project system will permit electronic filing of court documents to accomplish the following: 1) enhance service delivery to the public; 2) eliminate repetitive and duplicative data entry and work flow processes; 3) improve existing and establish internal reporting and controls; and 4) facilitate and expedite preparation of administrative reports.

All cases filed as Commercial Litigation in the Law Division will be eligible for electronic filing. The project will be permissive based on the status of the filer (i.e., if they are registered as an electronic filer) and the filer’s decision to file electronically or conventionally. Any duly registered attorney or self-represented litigant may file either electronically or conventionally. Registered filers may electronically serve electronic documents on other party (ies) based on the other party (ies) election to participate in the electronic filing project by registering with the Clerk’s Office. All documents filed conventionally must be served consistent with the statutes, rules and orders governing conventional service. Orders will only be included when approved by the Chief Judge through an Administrative Order of this Circuit.

B. Proposed System OverviewThe proposed project will serve primarily as a “Virtual Clerk’s Office filing counter”. While some workflow and data entry will be automated, Clerk’s Office employees will print out hard copies of all filed documents for inclusion in the official court file. Employees will also be responsible for verifying the electronic data related to the filing prior to updating the existing case management system.

Because the proposed system will be web-based, filers will not need special hardware or software. Filers will connect to the Clerk’s Office website using a standard personal computer and browser technology. Filers will only communicate with the vendor’s e-filing system. The filer’s end requirements may vary depending on the requirements of their specific Internet service provider. However, because the filed documents will be converted, by the vendor, into PDF, there are very few minimal requirements.

The vendor’s hosting facility will provide an industry standard, redundant system architecture with an environment including security, telecommunications and database systems. The facility will provide physical security, redundant uninterruptible power systems, and redundant connections to the Internet, and redundant air conditioning systems. Communication between the vendor and the Clerk’s Office will be via dedicated T1 lines (or higher). Clerk’s Office employees will access the system from their current desktop environments for review and acceptance of the electronically filed documents and the associated filing data (including fees, party information, special instructions, and other information). Depending on the Clerk’s Office employee’s role and responsibility, this desktop environment will include some or all of the following: thin client or PC running Windows; Internet Browser; Microsoft Word; Text Viewer for PDF; printer; and scanner.

The Clerk’s Office will have the ability to review, accept/reject and process in real time. Following the Clerk’s Office acceptance of the filed document, the Clerk’s Office will use its existing back-end systems (Case Management System and Financial Management System) to maintain its electronic docket and other records. The system will automatically extract the filing data and metadata (including fees, party information, special instructions, and other information) to automatically populate the Clerk’s Office case management system and financial management system. The Clerk’s Office will be able to print the filed document for inclusion in the official court file. The system will include the capability to print documents individually or in batch. In addition to the official hard copy, the system will provide the Clerk’s Office with the electronic document so that the Clerk’s Office can keep and maintain the electronically filed document. The system will also keep and maintain a copy of the electronic document in the document management system for access by the user community, upon request and approval from the Clerk’s Office. Data and document transfers to the Clerk’s Office system will be available immediately following acceptance of a document.

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C. Technical Environment The technical infrastructure of the Office of the Clerk of the Circuit Court of Cook County is divided into two major storage components: Mainframe and Client Server. The following are descriptions related to each component:

Mainframe Environment – The primary County Data Center is located in the Cook County building in downtown Chicago. The Office of the Clerk of the Circuit Court has approximately fifteen (15) court applications that run on a shared IBM mainframe.

Mainframe – IBM Model 2084-301 Mainframe Operating System – IBM ZOS

Enterprise Storage – IBM Mdl# 2105-F20 DASD storage with 1.6 Terabytes of storage capacity; IBM Mdl# 2108 (on order) with 3.6 Terabytes of storage capacity; and IBM Mdl# 3950 Tape Units.

Mainframe Printer(s) – Xerox DocuPrint 2000 Series 180 MICR; IBM Model 6262; IBM Model 1145; and IBM Model 6400.

Mainframe Database(s) - DB2 (future development); and VSAM (majority of existing files).

Client Server Environment – The Office of the Clerk of the Circuit Court utilizes Cook County’s Wide Area Network which uses a TCP/IP protocol and acts as a common transport for all county wide enterprise traffic. The Wide Area Network is maintained by the Cook County Bureau of Technology.

eMail System – Novell GroupWise

Server Platform(s) – Microsoft Windows 2000 & 2003; HP Blade Servers

Server Applications – Microsoft Office, Microsoft SQL – 7.0; Novell NetWare 6.0; GroupWise 7.0; Integrated Cashiering & Security System; Integrated Case Management – CourtView; Records Management – InSight; and HelpDesk Support Application – Trackit.

PC Environment – Over 600 Distributed PC’s [248MB – 1Gig (Ram); 2.5– 4.0 Gigahertz (processor); and 40 Gig-100 Gig (hard drive)]; Microsoft Windows 2000 & XP (operating system); Microsoft Internet Explorer (internet browser) ; Microsoft Office (major office application); Passport 3270 Emulation (mainframe terminal emulation); and GLINK terminal emulation.

NeoWare Thin Clients – Over 2000 Distributed NeoWare Thin Clients / Neolinux and XP Embedded Operating Systems.

Internet / Intranet Applications (including website) – HTML; Java; Visual Basic; .Net; XML and SQL.

D. System Requirements

General Requirements

If selected, the system will permit electronic filing of court documents providing the following: Hardware and software that comply with today’s technology and general data processing industry

standards; A “real time” system that allows for electronic filing, storage, access to, and review of all

documents including the initiation of cases, updates to existing cases, and retrieval of information;

Web-based access to full electronic images of court documents;

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Capability of integrating non-electronically filed documents, both electronic document images and data or metadata related to the documents, into the electronic case file and the system; Appropriate security functionality with varying levels of secure access to information;

Quality assurance controls; Detailed, real time reporting capability; Capability for future interface and/or integration with an imaging system; Appropriate controls to handle impounded and restricted case files.

The system must be able to integrate with the existing Clerk’s Office and Cook County network and telecommunications infrastructure. The system will also include an Internet access component directed through a web server connected to the County’s Wide Area Network (WAN) which will allow on-line business transactions to be conducted by Clerk personnel and the public.

In accordance with the AOIC Project Policy, the submission will explain how the proposed electronic filing system will meet the following five requirements:

1. Filing shall be limited to attorneys or parties who have registered with the Clerk;2. The form of filing shall not affect the right of public access to court files;3. Printed copies of any filed document shall be made available by the Clerk at the statutorily

defined cost;4. The Clerk shall remain responsible for making, keeping, and preserving complete records of all

circuit court proceedings and determinations in accordance with all applicable orders, rules, statutes and other laws;

5. Filing fees shall be applicable as provided by law.

The electronic filing system will also meet the following Clerk’s Office requirements set forth below:

1. The electronic filing system will initially handle commercial litigation cases filed in the Law Division. However, the system must be capable of handling filings in any and all case types;2. Vendors responding to this RFQ are required to provide an electronic case filing solution for the selected case types and to include two-way interfaces with the Clerk’s Office case management system; 3. The project will begin in 2007-2008 and the electronic filing of court documents will not affect the Clerk of the Circuit Court’s responsibility to insure the security and integrity of court documents;4. Documents to be included in the project include complaints, petitions, motions, discovery, orders and other pleadings including the proof of service documents;5. The electronic filing system will include its own document management system. The solution’s document management system will be capable of processing, indexing, accessing, printing and handling imaged documents, and facilitating conversion of court records to the approved archival media (currently, microfilm);6. Orders will only be included when approved by the Chief Judge through an Administrative Order;7. The electronic filing solution will be adaptable for use in all of the case types handled by the Clerk’s Office.

General Operational Requirements

1) The system must otherwise replicate or enable or provide equivalents to all of the standard procedures and steps in the current manual Circuit Court civil filing process including:a) Clerk’s Office review and acceptance of the filing;b) The ability to “file stamp” or otherwise mark documents as filed and to certify documents. The

file stamp must include all elements currently included on the Clerk’s Office physical file stamp.

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The file stamp must also be configurable by the Clerk’s Office on an administrative level without the need for additional programming;

c) The electronic filing system must be voluntary for all litigants;2) The system must include a process for case initiation of electronically filed cases. On case initiation,

the system will be able to interface with the Clerk’s Office cashiering system to exchange data including, but not limited to, case number, calendar/judge, etc;

3) The system must include its own records management functionality permitting the indexing, filing, storage, handling, viewing, and printing of documents. It must be capable of performing these functions either individually or in bulk or batch transactions.

4) The system must provide the following process controls: a) Comprehensive edit controls which, for example, prevent incomplete or incorrect data from being

processed;b) Programmatic control of the process flow to prevent information from being processed in the

wrong sequence;c) Processing cycles completed in a logical, prescribed order;d) Integrity of data entering the database, safeguarded through editing criteria;

5) The system must provide capabilities for high volume filers to transfer large numbers of documents, attachments and envelopes at one time ("bulk filing");

6) The system must be capable of handling “special exchanges”, i.e. certificate of service, signature block, sealed documents, confidential documents;

7) The data must at all times belong to the Clerk’s Office;8) The system must include Clerk’s Office records management (including litigant and public access;

and the ability of a judge to seal cases in whole or in part, individually or by case type or category of user, and to restrict access to case information to authorized persons).

General Technical Requirements

1) The system must operate on the current Clerk’s Office desktop. 2) The system must enable user definition and maintenance of system values and rules by the Clerk’s

Office, without requiring programmer intervention or recompilation of programs.3) The system must comply with W3C web services standards. The system must utilize browser

technology and comply with W3C technical standards for a variety of platform operating systems and browsers.

4) The system will utilize standards equal to or consistent with the most current court/justice industry standard technology such as the OASIS Legal XML Electronic Court Filing Standards or Global Justice Exchange Data Model (GJXDM).

5) Clerk’s Office standard data security procedures must be in place, including RAID Level 5 protection for document servers, redundant safeguards on disk drives and servers and, at least daily, back-ups with offsite storage so that all data can be recovered. One copy of the data must be stored and kept at the Clerk’s Office.

6) Changes to the e-filing system and scheduled system maintenance outages must be coordinated and scheduled with the Clerk’s Office.

7) The system will include a process to notify users of policy and procedural changes to electronic filing.

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Specific Operational Requirements

1) Registration and Authentication

a) Describe how the electronic filing system authenticates electronic filing participants and transmissions, incorporating digital signatures.

b) The system will permit prospective filers to complete an on-line application on the Clerk’s Office website transmitting registration information to the Clerk’s Office review queue so that the authorized user can handle the decisions on all applications for registration. Upon approval of registration by the Clerk’s Office, the system will send notice back to the registrant with the user name and password.

c) The system will maintain a register of all users with their identifying information (name, locators, clerk’s office attorney registration identification, and Illinois attorney registration and disciplinary committee identification number, etc.).

d) The system will have a method for authenticating filers, including the identification of filers with user ID and password (with the appropriate accounting information).

e) Access to the system must be controllable, on an administrative and systems level, by authorized Clerk’s Office employees (i.e., authorized users must be able to review usage, and if necessary, remove or change IDs and passwords). Access control should consist of multiple levels of authority.

f) Describe the process used to register attorneys and verify that they are in good standing with the court, which incorporates the use of registrants ID’s and passwords.

g) The system will provide a secure method of authenticating judges and clerks.

2) Receipt and Acceptance of Filings

(a) Fully explain how the system handles any and all procedures and requirements within filed documents (i.e., specific filing procedures, special formats, attachments, exhibits, etc).

(b) Electronic filings (both attached documents and any transmittal “envelope” message) will be checked for virus and related hazards prior to transmittal to the Clerk’s Office. The vendor will maintain full responsibility for warranting that all transmittals are virus free.

(c) The system will have an automatic method for ensuring anti-viral software is kept up-to-date.

(d) The system will assign and confirm a unique identifier for each filing and create audit trails to track the filing and all filing related occurrences and milestones.

(e) The system will automatically create and docket in the court's case management system a certificate of service for the document served.

(f) The system will be able to track the date and time of receipt (as defined by clock or by rule of court), and the date and time of acceptance or rejection by the Clerk’s Office. A unique identifier should be assigned upon receipt. Upon acceptance, a unique, permanent case number should be assigned by the Clerk’s Office.

(g) The system will provide a method to verify document integrity for electronic filings received by the Clerk’s Office. The vendor must be able to warranty and authenticate that the filed document is exactly the same and unchanged from the time that it is submitted for filing to the time that it is accepted and stored in the document management system. Additionally, the vendor must be able

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to warranty and authenticate who filed the document and when the document was submitted for filing.

(h) The front-end system will provide error messages and correction options if the filing is not in accordance with court policies, codes, and requirements including case openings.

(i) The front-end application will be able to support the Clerk’s Office policy on filing when the accepting system is down.

(j) If the Clerk's Office case management system is not operational, the front-end electronic filing system sends a message immediately to the filer and holds the filing for submission when the Clerk’s Office system is operational.

(k) The system will be capable of performing a preliminary assessment of filings prior to the authorized user’s official review, to determine “formal” compliance (i.e., entry of all required data fields, check of filer status, etc.). The front-end system must validate case number, filing parties, case types, document types, and other elements required for populating the Clerk’s Office database.

(l) The system will have a method to track and report to the Clerk’s Office any rejected filings (and the reason(s) for rejection).

(m) The system will actively notify filers of the acceptance or rejection (and the reason(s) for the rejection) of the filing.

(n) Acknowledgements of filings must include the address of the document on the Clerk's Office server.

(o) The system will be able to permit, corrective action to fix errors.

(p) The system will allow for Clerk’s Office staff to initiate actions as filings and to notify parties of such filings.

(q) Electronic records are not currently acceptable as official court records. The system should foster the easy printing of a paper copy of all items making up the official court record. This includes printing in batch and a system for indicating whether the Clerk’s Office has printed a copy for filing.

3) Electronically-filed Case Documents

(a) The system will be able to compile “on demand” an up-to-date register of all pleadings and related forms, documents, notices, and other activity making up a case file.

(b) The system will accept the importation of non-electronic documents into the electronic court record in accordance with statutes and rules. Once imported, the system should be capable of handling the documents in the same manner as those originally filed electronically.

(c) The system will provide a method for handling other electronic materials involved in a case, including, e.g., transcript, exhibits, and multimedia presentations made to the jury.

(d) Users will be able to easily access documents from the index or case management system (via a hyperlink).

(e) The system will have a method for listing the existence of any non-electronic components of case records (physical exhibits, oversize documents, etc.).

(f) The system will be able to distinguish between unofficial copies of documents and “official” copies of documents.

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(g) The system will be capable of producing “certified” copies of documents. The certified copies should bear visible indicia of certification.

(h) The system will support the addition of private notes to accompany, but be separate from, official electronic case files (such as a judge’s reference notes or directions to staff).

(i) Electronically filed “accepted” documents should be automatically entered into the case management system.

(j) Documents will be capable of being stored in read-only format.

4) Management of Electronically Filed Documents.

a) Documents filed electronically will be subject to the following requirements:

i) An office accepting a filing must be able to authenticate the source of any electronic line transfer received.

ii) The system must enable the Clerk’s Office to index any filing as required by statute, court rule or order.

iii) The provisions of the Illinois statute, court rules and orders which require that a microfilm copy of documents be produced shall apply to all documents received in electronic form.

b) All devices and software to be used for reproduction must comply with generally accepted legal standards of authentication of documentary evidence.

c) System must provide the Clerk’s Office with the ability to ensure document authenticity and integrity including, but not limited to, the following:

i) The system provides a means to verify the integrity of any electronic document received and stored by the Clerk’ Office

ii) The system provides document redundancy.

iii) Hash algorithms must be provided within receipt and the system must provide a document history of hashes.

iv) At a minimum, system must comply with FIPS 180-2 or successors. (http://www.itl.nist.gov/fipspubs/fip180-1.htm).

d) Oversight Responsibilities. The proposed electronic filing system must ensure that, in accepting electronic filing, Clerk’s Office can do the following:

i) Assure that nothing contained within the medium received would threaten the integrity of documents maintained by the receiving office in machine-readable form.

ii) Provide adequate security to limit access by persons making filings so that they cannot tamper with other filings or records of the office.

iii) Provide documentation and access to the electronic filing system as may be requested by the Clerk’s Office.

5) Case Management System and Financial Management System Interfaces

a) During the design stage, Clerk’s Office staff will provide the necessary fields and codes needed to integrate electronic filing into Clerk’s Office case management system.

b) Clerk’s Office staff will also provide the cost codes and amounts needed by the Financial Management System for a financial transaction involving the filing of cases. The vendor will be able to provide the necessary data from the document or a cover sheet to handle most of the Clerk’s Office case management system data entry, as well as the collection of the filing fees.

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The filing fees will be placed in the identified Clerk’s Office bank account(s) and a record sent to the financial management system.

c) A registry of web services must be provided by the system for integration.

d) The system delivers case documents for entry and retrieval into an electronic document management system and case management system with "one-click" methods that do not require duplicative work on the part of court clerks for record entry into or retrieval from case management or document management systems.

6) E-commerce (Filing Fees)

a) Filers should be able to query the status of their account and all fee payments.

b) The system will readily accommodate changes in fees on an administrative level by authorized Clerk’s Office staff.

c) The system will allow payment by a third party of any transaction fees.

d) The system will maintain a transaction log of all financial transactions and transmit to the Clerk’s Office a daily file of all online financial transactions so the fees may be posted to the Financial Management System each business day by 5:00 p.m. local time, Monday thru Friday except for designated court holidays.

7) Confidentiality

a) The system will be capable of presumptively sealing or restricting access to cases based upon established categories (as defined by statute or rule of court).

b) Based on the nature of the document and the nature of case, system provides automatic confidentiality at the time of electronic document filing in accordance with statutes and rules or court orders.

c) The system provides provisional confidentiality until a determination on confidentiality is made by the court.

d) The system will be capable of allowing judges to seal cases or restrict access “on demand”, either by user or by case type, or by individual case.

e) The system will allow for changes of confidentiality status for documents or the case during the life of the case.

f) The system will allow users to be informed when a case has been sealed or access is restricted.

g) The system will allow for, and be capable of tracking changes in the confidentiality status of documents or cases.

8) Access

a) The system will be available for filing and for informational access twenty-four hours per day, seven days per week (24/7), except for scheduled outages for maintenance.

b) The system will support and process requests and responses to standard queries for court records and provide a notice to the person making the query of the currency of the information.

c) Filed forms and documents will be viewable by the Clerk’s Office, court and filers and others using commonly available browser software. (Vendors responding to this desirable should identify which browsers would be supported, as well as any preferred browser).

d) The system will be compliant with the Americans with Disabilities Act.

e) The system will allow multiple concurrent users to access documents.

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9) Recruitment, Training and User Support

a) The vendor will supply a recruitment and promotion strategy for both enlisting attorneys and public users to become eligible for electronic filing and for promoting actual usage by filers.

b) The vendor will provide a program for user training (for the attorneys, the judges, the clerks and their staffs and for public users) – this may be classroom-based, computer-based, or a mix of approaches. The vendor will also supply a “Train the Trainer” program for Clerk’s Office staff.

c) The system will include a training/test environment where the trainees have the ability to enter “practice” filings.

d) The vendor will provide a user manual(s) supporting each group of users, including attorneys, judges, clerks and public users.

e) The system will provide online assistance to pro se litigants.

f) The vendor will provide toll-free, dial-in access to an in-person “Help Desk” service for filers and Clerk’s Office staff.

10) Architecture

a) The system will have industry standard disaster recovery capabilities. In the event of a server failure or other outage, any records processed during the outage should be captured correctly. If the Clerk’s Office case management system is down the e-filing system may continue to process filing and store the filing until the Clerk’s Office case management system comes back on-line.

b) The system will have interchange and compatibility standards necessary to allow interfaces with other courts, state agencies or any future statewide data access program.

c) The system will be capable of handling large-volume filers and mass transfer of data.

11) Security

a) Electronic filing transmissions must be secure.

b) The system will provide an audit log of all transactions.

c) The system must enable appropriate Clerk’s Office staff to have administrative and system level control of assignment and revocation of security levels and privileges.

d) The system must enable appropriate Clerk’s Office staff to have administrative and system level control over user privileges to create, modify, delete, print, or read electronic records.

e) The system will have the capability of setting different security levels of user privileges with regard to accessing (viewing and printing), filing, and modifying or deleting records.

f) The system must comply with generally accepted security protocols, including use of HTTP and secure socket layer (SSL).

E. Services RequestedThe vendor will be expected to implement the electronic filing solution throughout the court operations divisions of the Clerk’s Office, starting with the commercial litigation cases in the Law Division. Besides meeting the requirements as set forth herein and the attachments, the vendor must be qualified and able to provide the services listed below and must describe how it will provide such services in its response.

1) Implementation Services:

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a) A subscription based public access system providing access to civil records and criminal records, and providing document retrieval access to attorneys or public users participating in the electronic filing service. The vendor will also design, deploy and, if requested, host the Clerk’s existing “case snapshot” and, until phased out, the “Case Docket” lookups;

b) An electronic filing system, with functionality configured to Illinois and local requirements as set forth in this RFQ, its attachments and all applicable laws, rules and orders;

c) An Internet and telephone voice response system for payment of court filing fees, as well as other court costs, fines and sums. This service will include financial accountability tools.

d) A robust document management system for the storage and retrieval of electronically filed documents. The vendor will also provide a scanning interface for use by the Clerk’s Office staff to scan and add documents to the document management system.

e) A Clerk’s Office desktop to allow the Clerk’s Office staff to interface with the electronic filing system and document management system.

2) Application configuration.

a) Application support and maintenance, including future global application enhancements.

b) Implementation of a filer registration system consistent with Clerk’s Office policy.

c) Implementation of services, consistent with the direction of the Clerk’s Office, to integrate data collected by the electronic filing system into the Clerk’s Office existing case management systems.

3) Project Management Services. The vendor will assign a project manager to coordinate all aspects of the service deployment and ongoing support. The project manager will provide:

i) A written project management methodology for implementing electronic filing and related services, to include implementation planning services based on the Clerk’s Office needs;

ii) Development and maintenance of a project schedule;

iii) Periodic status reports of the progress of service deployment, as assigned by the Clerk’s Office Project Management Office (PMO);

iv) Create and maintain action item and issue identification and status maintenance document.

4) Systems and Data Configuration Services. Configuration of all software applications supporting the systems to support the needs of Illinois, and the Cook County Circuit Clerk specifically. Consistent with statewide requirements, The vendor will therefore provide:

i) Database configuration and setup.

ii) Services to identify the configuration and setup required for the Clerk of the Circuit Court, and assistance preparing the jurisdiction’s fee profile and other forms required for deployment of the systems.

iii) Deployment of the electronic filing system configured for Cook County.

iv) Consistent with Clerk’s Office directives, ensure that each electronic filing be available for download into the approved court filing standard.

5) System Interface Services

a) There are several potential points of system interface for the public access, electronic filing and payment systems. They vendor will provide:

i) Interface implementation for secure exchange of data to and from vendor.

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ii) Interface with the vendor’s electronic payment system. The electronic filing system will pass encrypted payment transaction data to the site using a secured connection. They vendor will transfer funds to Clerk’s Office designated accounts not more than 48 hours after the transactions are completed. The electronic filing system will pass encrypted payment transaction data to the Clerk’s Office using a secured connection.

b) The vendor will provide authorization and settlement transaction services for credit cards, debit cards and ACH transactions.

c) The vendor will provide an online, secured application for the Clerk’s Office to process credit cards payments.

d) The vendor will provide customer service for payment transactions processed through the electronic payment systems.

6) Testing and Training Services. The vendor will conduct extensive system and integration testing prior to release of the activation of the systems. The Clerk’s Office will be kept apprised of testing status and results and must provide final approval prior to implementation. Additionally, the vendor will provide:

i) Assistance to the Clerk’s Office staff during user acceptance testing, including staging URLs, test user accounts, and procedural assistance for electronic payment and other system interface testing.

ii) Training for Clerk’s Office staff on the systems components for all phases of the project, including, but not limited to, use of the electronic payment component customer service interface.

iii) User documentation for the systems.

7) Marketing Services. The subscription public access system and the electronic filing system will be the systems of the Clerk’s Office. Revenues, over and above the filing fee, generated by the systems will be shared 2/3rds to the Clerk’s Office and 1/3rd to the vendor.

i) The vendor will assist the Clerk’s Office in marketing and providing general awareness to encourage subscribers and filers. The vendor will provide marketing assistance for the project phases, including assisting the Clerk’s Office in developing the approach to informing the local market and the marketing content. The Clerk’s Office retains approval rights on all marketing approaches and materials. At a minimum, the vendor will assist in the following activities:

(1) Development of the local marketing approach.

(2) Assistance with the initial design and development of physical marketing materials (brochures, mailings, advertisements, etc.).

(3) Presentations to organizations within the local legal community.

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DRAFT - Request for QualificationsExhibit A

POLICY FOR IMPLEMENTATIONOF AN

ELECTRONIC FILING PILOT PROJECT IN ILLINOIS’ COURTSA) Authority. The chief judges and clerks of the circuit court may permit documents to be filedelectronically on a pilot basis only after approval by the Supreme Court through the Director of the Administrative Office of the Illinois Courts. Electronic filing of court documents is authorized to begin in a pilot county or counties, designated by the Court, and on the recommendation of the Administrative Director, when deemed appropriate by the Administrative Director. Approval of any electronic filing pilot project does not relieve the clerk of the circuit court of their responsibility to insure the security and integrity of court documents.

1) Prior to implementation of a system, the clerk of the circuit court shall seek approval of electronic filing by submitting an application to the Administrative Director which shall be signed by the circuit clerk and authorized by the signature of the chief judge.

2) The application shall specify the county(ies), division(s), or classes of cases in which the proposed electronic filing system will be used. The application should also identify the documents to be accepted.

3) The application shall include a description of the proposed hardware and software, and how it integrates with the case management system.

4) The application shall describe how the public will be notified of the pilot project for electronic filing.

5) The application should describe the process used to register attorneys and verify that they are in good standing with the court, which incorporates the use of registrant’s id’s and passwords.

6) The application should describe how the electronic filing system authenticates electronic filing participants and transmissions, incorporating digital signatures.

7) The application shall include documentation of a successful testing phase.

8) The application shall explain the overall procedure for electronic filing including:(a) Operational steps;(b) Hours of Operation;(c) Document format(s) for all filed documents;(d) Medium used to access the electronic filing system, i.e. internet, intranet, dial-up lines;(e) Procedures and requirements within the filed documents, i.e. specific filing procedures, attachments to pleadings;(f) Procedure to follow in the event of hardware or software failure;(g) Verification of date and time of filing of documents;(h) Handling of special exchanges, i.e. certificate of service, signature block, sealed documents, confidential documents.

9) The application should describe how fees are managed with regard to electronically filed documents.

10) The application shall explain how the proposed electronic filing system will meet the following:(a) Adequate interchange standards and compatibility with any statewide data access;(b) Integration of electronic with paper aspects of the system;(c) Ease of installation and maintenance;(d) Ease of use by the court, attorneys and parties;

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(e) Reliability;(f) Security;(g) Data integrity;(h) Reasonable controls;(i) Audit trails;(j) Long-term storage;(k) Cost-effective upgrade or replacement to enable the migration of data as technology changes;(l) Economy of operation;(m) A means of authenticating the source of each document;(n) A means of authenticating the accuracy of transmission of each document;(o) A means of accurately ascertaining the date and time of filing;(p) A means to provide the filing party with verification of the date and time of filing;(q) Type of electronic signature, manner and format in which signature is affixed, and a means to verify electronic signatures;(r) A means to produce paper copies of documents filed electronically;(s) A means to provide a secure back-up of any data storage device that contains documents that have been filed electronically; and(t) A means to make a microfilm reproduction of documents filed electronically.

11) The application shall explain how the proposed electronic filing system will meet the following five requirements:

(a) Filing shall be limited to attorneys or parties who have registered with the clerk of the circuit court in which the filing is made;(b) The form of filing shall not affect the right of public access to court files;(c) Printed copies of any filed document shall be made available by the circuit court clerk’s office at a reasonable cost or otherwise as directed by statute or rule;(d) The clerk of the circuit court shall remain responsible for making, keeping, and preserving complete records of all circuit court proceedings and determinations in accordance with the Court’s General Administrative Order on Recordkeeping in the Circuit Courts; and(e) Filing fees shall be applicable as provided by law.

12) The Administrative Director may approve, disapprove, or request modification of the circuit court clerk’s proposal, giving notice of her/his action to the chief judge and clerk of the circuit court.

B) Scope of Filing.1) Electronic filing is limited to electronic line transfers, excluding transfers of information by means of a facsimile transmission device (fax), and has no effect on any existing statute or Supreme Court rule governing facsimile transmissions.

2) The scope of electronic filing in any pilot county is to be defined in the application of the clerk and is subject to the approval of the Administrative Director. Upon the grant of a request to the Administrative Director seeking an exception after a system has been approved and implemented, a chief judge may specify additional documents which may not be filed by electronic means.

3) An electronic filing of a verified pleading constitutes an attorney’s certification that the original verified pleading is in the attorney’s possession. The attorney shall produce the verified pleading for inspection at the request of any party or the court.

4) The filing of documents by electronic means does not relieve the filing party of any duty to serve copies required by rule or statute.

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5) A will or other testamentary document may not be filed by electronic means.

6) The filing of documents by electronic means is limited to AR, CH, D, F, L, LM, MR, MC, SC, and TX case categories.

C) Protocol Requirements. An electronic filing protocol must include:

1) A means of authenticating the source of each document;

2) A means of authenticating the accuracy of transmission of each document;

3) A means of accurately ascertaining the date and time of filing;

4) A specification of documents that may not be filed electronically; and

5) A means to produce paper copies of documents filed electronically, including signatures, of sufficient quality to survive in readable form for the period of time that the file to which it relates is required to be retained pursuant to the Court’s General Administrative Order on Recordkeeping in the Circuit Courts.

D) Management of Electronically Filed Documents. Documents filed electronically shall be subject to the following requirements:

1) An office accepting a filing must be able to authenticate the source of any electronic line transfer received.

2) The clerk of the circuit court must index any filing as required by the Court’s General Administrative Order on Recordkeeping in the Circuit Courts;3) The provisions of the Court’s General Administrative Order on Recordkeeping which require that a microfilm copy of documents be produced shall apply to all documents received in electronic form; and

4) All devices and software to be used for reproduction must comply with generally accepted legal standards of authentication of documentary evidence.

E) Oversight Responsibilities. Any office accepting electronic filings must:

1) Assure that nothing contained within the medium received would threaten the integrity of documents maintained by the receiving office in machine-readable form;

2) Integrate new filings into an appropriate machine-readable data base in a manner that would permit their retrieval and conversion into paper form as required by this policy;

3) Provide adequate security to limit access by persons making filings so that they cannot tamper with other filings or records of the office; and

4) Provide documentation and access to the electronic filing system as may be requested by the Director of the Administrative Office of the Illinois Courts.

The Administrative Office of the Illinois Courts shall provide oversight of electronic filing inIllinois’ courts and shall report to the Court any non-compliance with this policy.

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F) Supreme and Appellate Courts. This policy does not authorize electronic filing in the Supreme and Appellate Courts.

G) Effective Date. January 1, 2003.

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DRAFT - Request for QualificationsExhibit B

Amended Application for Approval of an Electronic Filing Pilot Project

for the Circuit Court of Cook County, Illinois

Introduction and Executive Summary

The Honorable Dorothy Brown, Clerk of the Circuit Court of Cook County, Illinois (the “Clerk”), as authorized by the Honorable Timothy Evans, Chief Judge of the Circuit Court of Cook County, submits this amended application to the Illinois Supreme Court through the Director of the Administrative Office of the Illinois Courts for approval of an electronic filing pilot in the Circuit Court of Cook County, Illinois, pursuant to the “Policy for Implementation of an Electronic Filing Pilot Project for Illinois’ Courts|” (“AOIC Policy”). This amended application includes additional information and clarification in response to input by the AOIC.

The electronic filing pilot shall initially encompass commercial litigation cases filed in the Law Division. (L – Law). Documents to be accepted electronically in the pilot project shall include complaints, petitions, motions and other pleading including the proof of service documents. Orders shall only be included when approved by the Chief Judge through an Administrative Order of this Circuit.

The Clerk will use the electronic filing “service model” for the pilot. Under the “service model” for the proposed electronic filing pilot, the Clerk’s Office will contract with an electronic filing company (hereinafter referred to as the “Clerk’s EFiling Vendor”) that will serve as the Clerk’s Electronic Filing Manager (“EFM”). The EFM is the core of the Clerk’s Office proposed electronic filing pilot system. The EFM will interface with the electronic filers, provide the back-end interface for Clerk’s employees responsible for document review, acceptance and handling functionality, and will provide communication functionality including data and document transmission and electronic service. The EFM permits the Clerk to offer a single Clerk’s Office review and acceptance/rejection interface while allowing advance user functionality such as electronic service (The Clerk’s Efiling Vendor and the EFM will also from time to time be referred to collectively as simply the “EFM”).

The pilot will be based on an open model that allows for multiple service providers to participate in the system—including allowing attorney firms to function as their own service provider. To ensure that the electronic filing system is “open” to other electronic filing vendors, the Clerk’s Efiling Vendor/EFM will be open to multiple Electronic Filing Service Providers (“EFSP’s”) who will provide the direct user interface with the registered electronic filers. Filers The Clerk’s contract with the Clerk’s Efiling Vendor will include standards for EFSP’s, will give the Clerk’s Office authority to approve or disapprove of EFSP’s and will dictate required contract terms to be included in the Clerk’s Efiling Vendor’s contracts with EFSP’s and the EFSP’s contracts with the end-user electronic filers.

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The Clerk’s Office will continue to update and maintain electronic court dockets and records on its case management system to the full extent required by law. Additionally, the Clerk will continue to maintain the official court files in hard copy. After implementation of the electronic filing pilot, however, the Clerk’s Office will be enabled to avail itself of automated data entry and workflow. The Clerk’s Office will also keep, store and maintain the electronically filed documents in its own document repository.

This Amended Application sets forth the service offerings and capabilities to be provided by the EFM. The Clerk’s Efiling Vendor’s EFM together with the EFSP’s will provide services and capabilities including, but not limited to, those set forth in the herein. The service offerings and capabilities will be implemented, and expanded or contracted where deemed necessary, in carefully planned phases based on the Clerk’s Office’s and the Clerk’s Efiling Vendor’s experience and agreement and on feedback from all user groups.

The EFM and the EFSP’s will provide the user interface with the electronic filers. Together with the Clerk’s Office, the EFM and the EFSP’s will market the electronic filing pilot to potential end user electronic filers (For additional explanation, see Amended Application, Section 4). They will also provide training and Help Desk support for the electronic filers.

Please note that, pursuant to the AOIC policy, all electronically filed documents will be printed and filed, in the official court files, by the Clerk’s Office. Effectively, the electronic filing service providers and the Clerk chosen vendors will act as a “virtual counter” with the service providers acting as “filing clerks”.

This Amended Application is organized to track the AOIC Policy and uses the same numbering system. It also includes additions and changes responsive to the AOIC’s input and inquiries. Further in response to the AOIC’s input and inquiries, this Amended Application includes, as an attachment, a draft General Administrative Order to be approved along with the approval of the electronic filing pilot. The AOIC Policy language has been abridged, in some places, to condense this document.

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Table of Contents

A. Authority...............................................................................................................................40

1) Request for Approval................................................................................................40

2) Project Scope............................................................................................................40

3) Description of Hardware Software and Integration..................................................40

Hardware and Software Environments.................................................................................40

Current System.....................................................................................................................41

Proposed System...................................................................................................................21

4) Public Notice of Electronic Filing Pilot...................................................................43

5) Filer Registration and Verification Process..............................................................44

6) Authentication of Participants and Transmissions...................................................44

7) Successful Testing Phase..........................................................................................44

8) Overall Procedure for Electronic Filing...................................................................45

General Overview.................................................................................................................45

Definition of Terms..............................................................................................................47

(a) Operational Steps..................................................................................................48

(b) Hours of Operation...............................................................................................51

(c) Document format(s) for all filed documents........................................................51

(d) Medium used to access the electronic filing system.............................................52

(e) Procedures and requirements within the filed documents....................................52

(f) Procedure to follow in the event of hardware or software failure........................52

(g) Verification of date and time of filing of documents...........................................52

(h) Handling of special exchanges.............................................................................53

9) Fee Management.......................................................................................................54

10) How Proposed Efiling System Meets the Following:..............................................55

(a) Interchange standards and compatibility with any statewide data access............55

(b) Integration of electronic with paper aspects of the system...................................55

(c) Ease of installation and maintenance....................................................................55

(d) Ease of use by the court, attorneys and parties.....................................................55

(e) Reliability.............................................................................................................56

(f) Security.................................................................................................................56

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(g) Data integrity........................................................................................................57

(h) Reasonable controls..............................................................................................57

(i) Audit trails............................................................................................................57

(j) Long-term storage.................................................................................................58

(k) Cost-effective upgrade or replacement/data migration........................................58

(l) Economy of operation..........................................................................................58

(m) A means of authenticating source of each document...........................................59

(n) Means of authenticating accuracy of transmission of each document.................59

(o) Means of accurately ascertaining the date and time of filing...............................59

(p) Verification of the date and time of filing............................................................59

(q) Electronic signature..............................................................................................60

(r) A means to produce paper copies of documents filed electronically...................60

(s) Secure back-up data storage device......................................................................60

(t) A means to make a microfilm reproduction of documents filed electronically.. .60

11) Five Requirements....................................................................................................61

(a) Filing shall be limited to clerk registered attorneys.................................................61

(b) The form of filing shall not affect the right of public access to court files..............61

(c) Printed copies of electronically filed document available........................................61

(d) The Clerk remains responsible recordkeeping.........................................................61

(e) Filing fees shall be applicable as provided by law...................................................61

12) Administrative Director May Approve, Disapprove, or Request Modifications... . .61

B. Scope of Filing......................................................................................................................61

C. Protocol Requirements.........................................................................................................62

D. Management of Electronically Filed Documents.................................................................63

E. Oversight Responsibilities....................................................................................................63

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Clerk of the Circuit Court of Cook County, IllinoisAmended Application for Approval of Electronic Filing Pilot

Project

Authority.

Request for Approval.

The Honorable Dorothy Brown, Clerk of the Circuit Court of Cook County, Illinois (the “Clerk”), as authorized by the Honorable Timothy Evans, Chief Judge of the Circuit Court of Cook County, submits this amended application to the Illinois Supreme Court through the Director of the Administrative Office of the Illinois Courts for approval of an electronic filing pilot in the Circuit Court of Cook County, Illinois, pursuant to the “Policy for Implementation of an Electronic Filing Pilot Project for Illinois’ Courts|” (“AOIC Policy”).

Project Scope.

The electronic filing pilot shall initially encompass only Commercial Litigation cases filed in the Law Division. (L – Law, LM – Law Under). Commercial Litigation cases which are a subset of cases filed in the Clerk’s Office-Law Division. The jurisdictional amount for commercial litigation cases in Law Division is damages in excess of $30,000. The commercial litigation cases include, but are not limited to, the following: breach of contract; professional malpractice (other than legal or medical); fraud; consumer fraud; breach of warranty; certain statutory actions; retaliatory discharge; and other cases identified as commercial litigation by the plaintiff or his/her representative. Generally, commercial litigation cases are filed on behalf of a plaintiff by an attorney. Cases are initiated with the filing of a complaint with a “Civil Action Cover Sheet” (Clerk Form CCL 0520 (Rev. 5/7/02). The cases are categorized as commercial litigation cases based on the filer checking the appropriate box on the Civil Action Cover Sheet. Commercial litigation cases are generally major cases with full motion practice and discovery.

Subject to the limitations included in the Draft GAO, Section 3 entitled “Scope” and Section 5 entitled “Scope-Documents Electronically Filed”, under the proposed pilot, all cases filed as Commercial Litigation in the Law Division will be eligible for electronic filing. The pilot will be permissive based on the status of the filer (i.e., if they are registered as an electronic filer) and the filer’s decision to file electronically or conventionally. Any duly registered attorney or self-represented litigant may file either electronically or conventionally. The Clerk’s Office will print paper copies of all electronically filed documents and will place the paper copies in the official case file. Pursuant to the Draft GAO, Section 10, entitled “Electronic Service; Proof of Service; Effective Date of Service”, duly registered electronic filers may electronically serve electronically filed documents on other party(ies) based on the other party(ies) election to participate in the electronic filing pilot by registering with the Clerk’s Office. All documents filed conventionally must be served consistent with the statutes, rules and orders governing conventional service. Orders shall only be included when approved by the Chief Judge through an Administrative Order of this Circuit.

Description of Hardware Software and Integration.

Hardware and Software EnvironmentsThis section identifies the Clerk’s Office current hardware and software environments and describes how the proposed pilot electronic filing system will integrate with the Clerk’s Office environment.

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Current System The existing Clerk’s Office system has the following components:

Workstations currently consist of the following:Hardware

Terminals connected to mainframe via thin-client (Citrix)

Other networked personal computers

Software

COBOL for z/OS; CICS for TS version 2

Operating System

z/OS (Operating Systems) version 1.4

County WAN – 10/100 Ethernet

Data storage currently consists of the following:

VSAM and DB2 file structure; resides on the Management of Information Services (MIS) mainframe computer IBM ESS 2105-F20, Operating system z/OS version 1.4.

Distributed computing environment includes multiple servers running Windows 2000 Server OS and MS SQL 7.

The Clerk’s Office maintains an internally developed, mainframe-based case management system for electronic recordkeeping. Case related data is manually entered into the case management system as a part of the Clerk’s back-office workflow.

Currently, the majority of case filings with the Clerk’s Office are completed in over-the-counter transactions. Some filings are received by mail. All initial case filings are initially processed at the cash register where a clerk reviews and accepts the paper filings, a case number is assigned, the documents are time-stamped and applicable fees are paid. After accepting case initiation paper filings, Clerk’s Office employees continues back-office workflow and processing which includes manual coding of documents, data entry into the Clerk’s case management systems, microfilming, transmittal of summons and complaints for service, and creation of individual files for official copies of the documents. Court filing, pleadings and other documents filed after initiation are handled similarly except for the case number assignment. A Clerk’s Office employee reviews and accepts the filing; performs back-office workflow and processing which includes manual coding and data entry into the Clerk’s case management systems; microfilms, and places filed documents into individual files for the official court record. All case management system updates are performed during nightly batch processing.

Proposed SystemThe proposed pilot will serve primarily as a “virtual Clerk’s Office counter”. While some workflow and data entry will be automated, Clerk’s Office employees will print out hard copies of all filed documents for inclusion in the official court file. Employees will also be responsible for verifying the electronic data related to the filing prior to updating the existing CMS.

Because the proposed system will be a web-based system managed by the Clerk’s Efiling Vendor, filers will not need special hardware or software. Filers will connect only to the Clerk’s EFiling Vendor using the Internet and standard personal computer and browser technology. A filer will file electronically through a computer attached to the Clerk's EFiling Vendor shall have hardware including a PC running Windows or compatible, an Internet Browser, Text Viewer (Adobe Acrobat or equivalent), Word Processor (Microsoft

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Word or Word Perfect), modem, printer and a scanner. Filers will only communicate with the vendor’s e-filing system. The filer’s end requirements may vary depending on the requirements of their specific internet service provider. However, because the filed documents will be converted, by the Clerk's EFiling Vendor, into PDF’s, there are very few minimal requirements.

The Clerk’s Efiling Vendor’s hosting facility will provide an industry standard, redundant system architecture with an environment including security, telecommunications and database systems. The multiple tiers of redundant servers will include appropriate models of servers. These machines are all multi-processor capable, and configured to be fully redundant, with teamed network interface cards, multiple power supplies, and multiple fans. The facility itself provides physical security, redundant uninterruptible power systems, and redundant connections to the Internet, and redundant air conditioning systems.

Communication between the Clerk’s EFiling Vendor and the Clerk’s Office will be via dedicated T1 lines (or higher). Clerk review, acceptance and processing will take place on the Clerk’s EFiling Vendor’s system. Clerk’s Office employees will access the system from their current desktop environments for review and acceptance of the electronically filed documents and the associated filing data (including fees, party information, special instructions, and other information). Depending on the Clerk’s employee’s role and responsibility, this desktop environment shall include some or all of the following: thin client or PC running Windows; Internet Browser; Microsoft Word; Text Viewer for PDF’s; printer; and scanner.

The proposed system will be a managed service deployed on Microsoft .Net technology. The system will provide a comprehensive messaging framework including creation and maintenance of a common interface to integrate with the Clerk’s Office case management, accounting and financial management systems. It will include a data import/export module that utilizes the National Center for State Courts (NCSC) recommendations for integration between electronic filing systems and court back-end systems, including the case management systems. Following the acceptance of the filed document, filing data (including fees, party information, special instructions, and other information) and the filed document along with supporting information will be available for extraction to the Clerk’s Office other systems. The proposed electronic filing system will utilize open, standards-based architecture facilitating data integration.

Clerk review, acceptance and processing will occur in real time on the Clerk's EFiling Vendor’s system. Following the Clerk’s acceptance of the filed document, the Clerk’s Office will use its existing back-end systems (CMS and FMS) to maintain its electronic docket and other records. The filing data (including fees, party information, special instructions, and other information) will be extracted to populate the Clerk’s Office systems including CMS, FMS and document storage systems. The Clerk’s Office will also print the filed document for inclusion in the official court file. In addition to the official, hard copy, the Clerk’s Office will also maintain, in the Clerk’s datacenter, one or more servers to keep and maintain the electronically filed documents in electronic format.

Data and document transfers from the Clerk's EFiling Vendor to the Clerk’s systems will be available either immediately following acceptance of a document (interactive) or following nightly batch processing. If the interactive process is used, the Clerk has the same import option types. However, upon acceptance, the data will be transferred to the appropriate Clerk’s systems and the case management system data (such as case number and court assignment for new cases) will be transferred back to the Clerk’s Efiling Vendor’s system as appropriate for pass-back to the filer. Initially, the Clerk will receive updates via nightly batch processing. The proposed system has sufficient flexibility for the Clerk to designate one of the following batch import types:

File Transfer Protocol (FTP); or

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HTTP (with or without virtual private network [VPN]) HTTPS.

Public Notice of Electronic Filing Pilot.

The table below sets forth the planned communication related to the e-filing project. A minimum of one Public Access Terminal will be available to the public in the Richard Daley Center. The public access terminal will be routed through the electronic filing service provider.

Adoption Phases Marketing Strategy Tactic1. Court Pre-Launch Identify filers

Make attorneys aware that service is coming

Make attorneys aware that service is launching on a specific date

Communicate to attorneys that judges and clerks encourage their participation

Arrange for articles in County Bar Association newsletter by key judges, clerks, or both

Include notices on Clerk’s website Arrange for articles in state

judicial publications by key judge or thought leadership

Place announcement posters at clerk counters and courthouses

Mail out direct mail piece to filers

2. Court Launch Communicate to attorneys service availability

Communicate to attorney the specifics of service


eFiling legal education training in counties

Stage a social event for County Bar Association Real Estate Committee to celebrate launch

Mail letter to filers from clerk announcing service availability; include fact sheet

Advertise in County Bar Association newsletter

Mail out direct mail pieces to filers Posters, post-it notes, and inserts

for clerks, courthouses, and law firms

Notices on Clerk’s website

3. Post-Launch Remind attorneys of service availability


Communicate new features to attorneys

Mail out reminder direct mail pieces to attorneys

Letter from influential judge to filers endorsing the Clerk’s EFiling Vendor’s electronic filing system usage

Advertise in County Bar Association newsletter

eFiling legal education training in county

Filer Registration and Verification Process.

To initiate the electronic filing process, a filer will be required to first register with the Clerk as an electronic filer. Upon registration and validation, the filer will receive a username and password. The Clerk’s Office currently maintains, in its case management system, an attorney/law firm registration

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database. Upon registration, the Clerk’s Office issues a unique Cook County code number to the attorneys and/or firms. To verify that registered attorney’s are in good standing, as part of its current processes, the Clerks’ Office regularly exchanges attorney standing data and information with the Illinois ARDC. The Clerk’s Office will continue to maintain and to utilize this system and to apply it to the electronic filing pilot. However, the Clerk’s database will be expanded to include new fields verifying that the filer is approved for electronic filing. As a part of the data exchange with the Clerk’s EFiling Vendor, the Clerk’s Office will provide the Clerk’s EFiling Vendor with the Clerks’ attorney registration database.

All filers will be notified that they are required to register and be approved by the Clerk to file electronically. Also, before an attorney will be enabled to use the Clerk’s EFiling Vendor’s electronic filing interface, he or she will be required to enter a valid user name and password or the system will display information about the registration requirement and process. This registration process shall include the collection and verification of personal information for the filer including filer first and last name, filer address and telephone number, filer personal or firm identification number issued by the Clerk’s Office, filer ARDC or similar license number issued by an official state licensing entity, filer email address and other identifying information as deemed necessary by the Clerk of the Circuit Court of Cook County. The filer information will be verified with the Clerk’s attorney database. Other filer personal data, such as email address, will be verified with the filers to further ensure filer data integrity.

As the final step in the registration process, the Clerk’s Efiling Vendor will electronically transmit the applicant’s information to the Clerk’s Office for Clerk review and approval. The Clerk’s Office will have the option of electronically approving the registration application, rejecting the application with notice of further information required, or notifying the applicant that they must appear physically at the Clerk’s Office to complete the registration process. After registration and validation, the filer will be issued a user name and password for accessing the system and submitting filings. After registration, the filer will be eligible to enter filings along with any supporting documents.

Authentication of Participants and Transmissions.

The Clerk’s Office and the Clerk’s EFiling Vendor will authenticate electronic filing participants and transmission through a user name and password combination to represent an electronic signature—in keeping with current digital signature law and standards. The user name and password will be assigned only to the user through the multi-step authentication process described in the previous subsection. This is a less costly solution for the filer, easier to use in an office with multi-step processing or delegated responsibilities, and is completely portable allowing a registered user to access the electronic filing system from any system with Web access. However, if required, the system can be configured to utilize electronic signatures in conformance with the Illinois Electronic Commerce Security Act (5 ILCS 175, et seq.).

For further information, see Response to No. 10 (f).

Successful Testing Phase.

The Clerk’s Office will require documented proof of successful testing on multiple levels for the proposed electronic filing pilot. The Clerk's EFiling Vendor contract will require successful completion of comprehensive implementation, testing and turnover plan prior to implementation of the pilot. The implementation and turnover plan will include documented test plans through which Clerk’s Office employees shall test every aspect of the proposed pilot including, but not limited to, the following: telecommunications and network reliability and security; filing processing and security; clerk review; authentication of users and transmissions; data exchange and integration between electronic filing system and Clerk’s back-end systems; payment processing and distribution; filed document access; electronic

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service; reporting and analysis; electronic document storage and retrieval; and other relevant system, financial, and application testing, and marketing and training tasks. These tests will be designed to cover the important aspects of our proposed implementation and conformance with the AOIC Policy guidelines.

Prior to pilot implementation, the Clerk and the Clerk's EFiling Vendor will develop a working prototype of the system. The Clerk will require proof of successful testing of the prototype using Clerk’s Office provided test data.

After successful testing of the prototype but prior to the full implementation of the pilot, the Clerk’s Office and Clerk's EFiling Vendor shall perform a limited initial live user-testing phase involving a small group of attorneys specifically selected for this test. The initial live user test shall include quality control measures to ensure verifiable and successful evaluation and monitoring. This initial “live” user test will include the following important quality control measures:

Limiting filings to specific subsets of the case types which have historical data and audit benchmarks.

Recruitment and registration of a limited number of motivated attorneys and participating parties who will provide valuable feedback and input.

A controlled environment of filing with known audit standards and validation Requiring pre-acceptance document review, viewing and printing. Closely monitoring statistical reporting of e-filing processes.

The “live” user-testing phase of this pilot shall include select registered attorneys and system testing strategies agreed on by the court, vendors and the Clerk. Upon successful completion of this test phase, the Clerk’s Office will begin full implementation. Through the implementation, the Clerk’s Office will continue to monitor the system and to apply the stated quality control measures.

Overall Procedure for Electronic Filing.

General Overview.For purposes of this Amended Application, an “electronic filing system” is defined as an electronic information and transaction processing system where:

12. Case filing pleadings and related forms and documents may be transmitted to and received by the Clerk electronically.

13. Case pleadings and related forms and documents filed electronically are indexed and stored in a document management system in addition to be printed for filing in the official court file.

14. Data from electronically filed documents and forms are extracted to populate the Clerk’s Office case management systems.

15. Filers, Clerk and courts can electronically send notices to other parties.16. Filing status tracking and statistical information are reported electronically.17. Billing and collection of court filing fees for electronically filed cases are handled electronically,

including interfacing with the Clerk’s Office financial management system.

If approved, the electronic filing pilot system shall permit electronic filing of court documents to accomplish the following: 1) enhance service delivery to the public; 2) eliminate repetitive and duplicative data entry and work flow processes; 3) improve existing and establish enhanced internal reporting and controls; and 4) facilitate and expedite preparation of administrative reports.

The proposed electronic filing pilot system shall provide:

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Hardware and software that comply with current technology and general data processing industry standards.

A “real time” system that allows for electronic filing, storage, access to, and review of all documents including the initiation of cases, updates to existing cases, and retrieval of information.

Appropriate security functionality with varying levels of secure access to information. Quality assurance controls. Detailed, real time reporting capability. Capability for future interface and/or integration with an imaging system. Appropriate controls to handle impounded and restricted cases.

The electronic filing pilot system will integrate with existing Clerk’s Office and Cook County network and telecommunications infrastructure.

In accordance with the AOIC Pilot Policy, the electronic filing system will meet the following five requirements:

1. Filing shall be limited to attorneys or parties who have registered with the Clerk.2. The form of filing shall not affect the right of public access to court files. 3. Printed copies of any filed document shall be made available by the Clerk at the statutorily defined

cost.4. The Clerk shall remain responsible for making, keeping, and preserving complete records of all

circuit court proceedings and determinations in accordance with all applicable orders, rules, statutes and other laws.

5. Filing fees shall be applicable as provided by law.

The proposed electronic filing system shall also meet the following Clerk requirements set forth and more fully explained below:

1. The electronic filing system shall initially handle the following case types: a) civil contract and tort cases for damages under $30,000 filed by “bulk filers” (“bulk filers” are attorneys or law firms filing in excess of 300 cases per year); and b) commercial litigation cases filed in the Law Division.

2. The electronic case filing solution for the selected case types will include interfaces with the Clerk’s Office case management system.

3. The pilot project shall begin in 2004, or upon approval. Implementation and acceptance of electronically filed documents in the subject case types should be completed within six to ten months of approval.

4. The electronic filing of court documents shall not affect the Clerk of the Circuit Court’s responsibility to insure the security and integrity of court documents.

5. Documents to be included in the project shall include complaints, petitions, motions, discovery, exhibits and other pleadings including the proof of service documents.

6. The electronic filing solution’s document management system shall be capable of processing, indexing and handling imaged documents, and facilitating conversion of court records to the approved archival media (currently, microfilm).

7. Orders shall only be included when approved by the Chief Judge through an Administrative Order.

Definition of TermsThe following terms shall have these specific definitions when used in this Amended Application:

Amended Application shall mean this document.

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Applications Software shall mean any automated processing of information that when grouped together constitute software.

Business Days shall mean any day in which Court business is functioning on a full-time basis. This would include Mondays through Fridays and exclude any recognized Court holidays.

Case Management System. Clerk’s Office computer environment in which it records, collects and manages electronic data and court records (also referred to as “Clerk’s Information System” or “Clerk CIS”, “CMS”).

Clerk’s Efiling Vendor. The vendor with whom the Clerk contracts to provide the electronic filing system described in this Amended Application, including the filer facing interfaces and functionality and the interfaces and functionality for Clerk’s employees responsible for reviewing, accepting and handling the electronically filed documents.

Clerk’s Information System or “Clerk CIS”. See Case Management System definition above.

Digital Signatures shall mean various means of electronic authentication of documents as further defined and described under the Illinois Electronic Commerce Security Act (5 ILCS 175/).

Document shall mean any paper or digital representation thereof filed with the Clerk of the Circuit Court.

Documentation shall mean the printed materials that describe the system or any component thereof or assist the Clerk in using the system.

Document Management System shall mean the automated system used by the proposed electronic filing system to store, index and facilitate retrieval of electronic documents.

Financial Management System shall mean automated systems used by the Clerk for cashiering, fine and fee collection and other financial accounting. Alternatively, it may also refer to the portions of the Proposed System that interface with the Clerk’s Office Financial Management and/or cashiering systems.

Filers shall mean any person, including attorneys and self represented litigants, who are registered and licensed to file electronically.

Installation shall mean the delivery, assembly and set-up of the Proposed System.

Proposed System shall refer to all aspects of the automated electronic filing system described in a response to the requirements set forth in this Amended Application. See also “Applications”.

Service Provider shall mean the individuals or business entities that will provide electronic filing solutions as set forth in this Amended Application.

Training shall mean the transfer of skills or skill sets from the Respondent to Clerk’s staff or end users.

Operational Steps.

Under the proposed electronic filing pilot, the Clerk’s Office will continue to update and maintain electronic court dockets and records on its case management system to the full extent required by law. After implementation of the electronic filing pilot, however, the Clerk’s Office will be enabled to avail itself of automated data entry and workflow. Additionally, the Clerk will continue to maintain the official

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court files in hard copy. The Clerk’s Office will also keep, store and maintain the electronically filed documents.

The Clerk’s Office will use an electronic filing service provider for the pilot implementation. Under this “service model”, the Clerk will contract with the Clerk's EFiling Vendor -an electronic filing company that will provide the front end electronic filing interface with the electronic filers and the interface for Clerk’s employees responsible for document review, acceptance and handling functionality. The pilot will be based on an open model that allows electronic filing of documents through the Clerk's EFiling Vendor by multiple service providers—including allowing attorney firms to function as their own service provider. The Clerk’s Office will also provide approved electronic filing service providers with the required data elements to be electronically transmitted to the Clerk’s Office with the electronically filed document. The data elements shall be those necessary to automate data entry, after Clerk verification, into the Clerk’s mainframe based case management system.

Registered customers will file electronically through a computer attached to the vendor shall have hardware including a PC running Windows, an Internet Browser, Text Viewer (Adobe Acrobat or equivalent), Word Processor (Microsoft Word or Word Perfect), modem, printer and a scanner. Filers will only communicate with the Clerk's EFiling Vendor ’s e-filing system. The Clerk’s EFiling Vendor shall interface with the Clerk’s system for the exchange of information. The proposed solution will be based on an open model that allows for multiple service providers to participate in the system—including allowing attorney firms to function as their own service provider.

Maintenance of personal information. Filers, both self-represented and those represented by counsel, will enter their personal information (name, address, phone number, fax number, and e-mail address) as part of registration for electronic filing.

Maintenance of case information. Upon entry to the system, the filer can select to file a new or existing case. For a new case, the filer will be prompted to enter party information including addresses and attorneys of record. For an existing case, the filer will be presented the case information upon selecting a case in which to file. The filer will then be able to add or remove parties and update party information as appropriate and as permitted by statute, court rule and applicable court orders.

Filing documents with the court. Filers will include self represented litigants, government representatives, and attorneys. The filer will submit documents for electronic filing either directly through the Clerk's EFiling Vendor’s system or indirectly to the Clerk's EFiling Vendor through a commercial service provider or through a system developed by the filer. The Clerk's EFiling Vendor will present the filing process through clear, easy-to-follow onscreen instructions, and navigation. In addition, the Clerk's EFiling Vendor will provide online help text and a 24x7 support line for its system.

As explained above, to initiate the electronic filing process, filers must first register with the Clerk as an electronic filer. After registration and validation, the Clerk will issue the filer a user name and password for accessing the system and submitting filings. After registration, the filer will be eligible to enter filings along with any supporting documents.

Clerk review. Electronic filings submitted to the court will be immediately available for Clerk review and acceptance using the Clerk's EFiling Vendor’s Clerk interface. Clerk’s Office employees designated for document review will access the system using a secure user ID and password. The Clerk’s Office will control the assignment of user names and passwords, ensuring that only authorized personnel will be able to view submitted filings and take action on those filings. After logging in to the system, the clerk can view the filing and supporting documents, services requested, all accompanying document information (contact

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information, special instructions to the court, and other information collected), metadata elements intended for populating and updating the Clerk’s existing case management system and fees charged. All information will be available for online viewing, printing, and integration with the Clerk’s existing case management system. The Clerk’s interface is essentially an “electronic counter” replicating, in electronic format, the processes and functionalities currently available to Clerk’s employees in the non-electronic filing environment. After reviewing the filing and accompanying information, the Clerk has the option of accepting, rejecting, or returning it to the filer for modifications.

During the pilot e-file implementation, the Clerk’s Office will maintain both the physical and virtual counters. The Clerk’s Office will designate appropriate reviewing staff for review, handling and processing of e-filed documents. The electronic review clerks shall log in and be prompted of all new filings within held in an electronic inbox. A review clerk shall view the document(s) and related information, check to ensure completeness of required information (i.e., case name format), case participants named, filing sub case type information, and then do one of two things with the filing transaction. 1) The clerk may accept the filing into the official court record; or 2) the clerk may reject the filing, based on a court-approved set of reasons, which are then sent back to the filer in a comment form.

Currently, at the physical Clerk’s counter, Clerk’s employees review the filing and, if problems are detected, the clerk verbally advises the filer of necessary additions, changes or modifications. The “electronic counter” provides the Clerk’s Office with similar functionality. A comment option allows the clerk to communicate with the filer regarding any special instructions, reason for rejection, or other information that needs to be relayed. Instead of verbally communicating this information, it will be sent to the filer in an e-mail.

For the most part, the Clerk’s Office may reject an electronically filed document only for the same reasons/criteria that it may reject a document filed conventionally. Generally, very few conventional filings are rejected by the Clerk’s Office. Possible reasons for rejection may include, but are not limited to, the following: incorrect case number; filed in the incorrect division; or document fails to conform to format standards articulated in statutes, rules, or laws.

At this time, we do not anticipate including, in the Draft GAO, a specific section setting forth additional electronic filing specific reasons/criteria for rejecting an electronic document. To the extent, however, that the Draft GAO sets forth certain requirements specific to electronic filing, the Draft GAO does include certain reasons/criteria for rejection specific to electronically filed documents. The reasons/criteria included in the Draft GAO, include the following: Case is not within the scope of the pilot (Commercial Litigation cases in Law Division) as set forth in

the Draft GAO, Section 3; The filer is not registered as an electronic filer with the Clerk’s Office (Draft GAO, Section 4(b); The electronic documents is outside of the scope of documents that may be filed electronically (Draft

GAO, Section 5); The filer failed to pay the statutory filing fee; and The document fails to conform to the formatting requirements for electronically filed documents

(Draft GAO, Section 7).It is anticipated that both the Clerk’s Office and the AOIC may determine additional electronic filing specific rejection reasons/criteria based on experience with the electronic filing pilot program. To that extent, it is anticipated that such reasons/criteria will be included in the GAO as deemed necessary.

Upon acceptance, the reviewing clerk will process the case and filing in a manner identical to the current except that some of the flow will be electronic. The reviewing clerk will assign a case number,

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judge/courtroom/calendar, ensure the collection of the appropriate filing fees and complete the acceptance process. This will immediately return an e-mail to the filer with the above-mentioned case information and a file stamped electronic copy of the filed document(s). E-mails will be sent to the filer after the clerk accepts an original complaint, when a document is ‘rejected’ and when documents are returned with ‘comments’. The e-mail also notifies the filer of the case status. The filer may then log onto the system to review history as entered by the clerk. Upon successful verification and acceptance, the reviewing clerk will also do the following: transmit electronic data to update the case management and financial systems; transmit the file stamped electronic document for electronic storage in the document management system; and print the file stamped document for filing in the official court file and other processing.

Reviewing of documents filed after case initiation shall include the Clerk’s normal verification steps including verification of the case number, type of filing, and case entitlement/caption of the document being electronically sent. The clerk shall 1) accept; or 2) reject the documents (likely with comments). E-mails are again automatically sent back to the filer. At the end of the Clerk review process, the clerk will print one or more hard copies of the file-stamped and accepted document for filing in the official case file.

Proof of filing. Following Clerk action, a notification stating the action taken and date and time of action will be sent to the filer. In the case of acceptance of the filing, the email will include a receipt with final payment information and the electronically file stamped document in PDF format. This email will serve as official notice of acceptance of the filing and provides the date and time of acceptance. In addition to filing status information and document being transmitted by e-mail, the email will also includes a link so that filers may use the online Review Status option to access information specific to their filings including current status, date of receipt, and date of action.

Electronic service of copies. The proposed solution will allow case participants (attorneys, self-represented litigants and authorized parties) to use the Internet to manage the delivery and service of copies on other parties of record. This includes notification and delivery, online tracking, and generation of proof of service with date, time stamp, and names of individuals served. Electronic service is a voluntary functionality for those who have elected to accept electronic service of copies. Absent court order, the electronic service option will not apply to the initial case filing or any other filing which, pursuant to the Illinois Code of Civil Procedure, the Supreme Court Rules or other statutes, rules or orders, have specific personal service requirements.

Payment processing and funds distribution. See Response to Section 9, Fee Management.

Filed document access. All electronic documents shall be kept and maintained by the Clerk’s Office in a its self-hosted document repository used to store, manage, and archive a copy of court filings submitted electronically or submitted through other means (scanned). Clerk’s Office employees can utilize the document repository to assist in finding, sharing, viewing and printing case documents. All documents presented will be available for download, printing, and viewing based on user privileges, document security rules and statutes, rules, policies and orders regarding access to electronic documents. Pursuant to those rules, registered filers may be entitled to remote access to the electronic documents for their cases. Such access will be to the Clerk's EFiling Vendor’s repository and will be limited and controlled by the username and password security and authorization used to electronically file.

Filing reports. Authorized Clerk and Court employees and filers will have secure access to view filing information for their cases or jurisdiction and to create custom reports based on user-defined search criteria including case number, current status, date, and unique trace number. Reports are linked to the filed documents and case detail, making it easy to research actions, view documents, and track case history.

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Financial reports. The Clerk will be provided with nightly comprehensive financial reporting its accounting and financial management systems, reconcile payments, and communicate with filers and other parties requesting filing payment information. The reporting system will include for user-defined reporting criteria, including date range and payment type, onscreen viewing, printer-friendly and downloadable versions of reports.

Hours of Operation.

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The electronic filing system will be available and in operation 24 hours per day, 7 days per week, except when the system is down for maintenance. For purpose of date and time of filing, the Clerk’s Office will use the date and time of Clerk approval and acceptance. While the Clerk will be able to review and accept electronic documents 24 hours per day, 7 days per week, except when the system is down for maintenance, documents will be deemed “filed” on the date they are actually filed and accepted through the process described in subsection (a) above. As stated in the Draft GAO, Section 9, a document that is electronically transmitted to and received by the Clerk's Office for filing before the end of the Clerk’s regular business hours on a regular business day shall be reviewed and accepted or rejected as if it were submitted on that day, notwithstanding that the actual Clerk review may not be completed until the next business day. If accepted, the document will be considered filed and file stamped on the day that it was electronically transmitted. A document that is electronically transmitted to and received by the Clerk's Office for filing on or at a time or day on which the Clerk's Office is not open shall be reviewed and accepted and file stamped or rejected on the next Clerk’s Office regular business day.

Document format(s) for all filed documents.

Physical format/appearance of printed electronically filed documents will be held to the same rules and orders currently in place. To the extent that this question applies to electronic document formats, the pilot system will use PDF as the required electronic format. However, the pilot will be based on an open model that allows for multiple service providers to participate in the system—including allowing attorney firms to function as their own service provider. These will include capability of converting Word, WordPerfect, text, and any other standard document formats to PDF. In terms of format of the electronically filed documents and associated data regarding the filer and the filing, the Clerk can select one of more of the following:

Web Services with Direct Internet Message Encapsulation (DIME) includes filing metadata and documents.

XML and comma-separated value (CSV) (filing metadata only). XML: metadata plus embedded PDF or TIFF documents. CSV: metadata plus separate documents in PDF or TIFF.

All case information, dispute resolution information, caseload information, and other tracking information may reside in the Clerk’s existing system, and the integration component can be used to share this data with users and other systems.

Medium used to access the electronic filing system.

The Internet will be used to access the Clerk’s EFiling Vendor’s system for e-filing. Communication and data transfer between the Clerk's EFiling Vendor and the Clerk’s Office shall be via dedicated T1 lines or via the Internet using a secure connection.

Procedures and requirements within the filed documents.

A filer using Clerk’s EFiling Vendor will log on to a website dedicated to Clerk’s Office electronic filing. Once authenticated on the website, the filer will be presented with a list of his/her existing cases or a new case initiation screen. After choosing an existing case or new case, the filer will then be presented with a

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list of all available filing types and will select that filing type which he or she is submitting. The filer will be presented with a listing of all data required to process the filing—including case number, party information, and other fields as required by the court for processing and/or integration with the court case management system. The filer will complete all required data and be allowed to upload the lead filing document and any supporting attachments. Uploaded documents will be checked for viruses, converted to PDF, and delivered to the clerk’s intake box for processing. The filer will be sent a notice alerting them that the document was successfully delivered to the clerk.

A part of this process also includes the pricing and capture of payment information for the filing. Based upon the established filing fees, as set by statute, rule or order, the user will be presented with fees for the filing and any associated fees for additional services provided by the court (such as a certified copy request). The filer will enter appropriate payment information using a credit card or electronic funds transfer. That information will then be captured, and upon acceptance of the filing, payment will be processed.

Procedure to follow in the event of hardware or software failure.

In the rare event of a hardware or software failure, the proposed system is designed with redundancy and fault tolerance in mind. However, this does not prevent a system component from failing from time to time. The proposed systems will be monitored 24X7 errors and failure events are reported to the support staff for action.

If the system is down, the filer will be able to file using various methods. Depending on the nature and extent of the outage, electronically filed documents may be accepted and held in an electronic queue pending system availability. Filers may also be able to submit electronically filed documents using the Clerk’s Office public access system in the courthouse. In the rare event of a complete system failure, filers will be able to use existing avenues such as mail or hand-delivery. If the electronic filing is not filed with the Clerk because of (1) an error in the transmission of the document to the vendor which was unknown to the sending party, or (2) if a failure to process the electronic filing when received by the Clerk's EFiling Vendor, or (3) if technical problems experienced by the filer or the Clerk, the Court may upon satisfactory proof enter an order permitting the document to be filed nunc pro tunc to the date it was first attempted.

Verification of date and time of filing of documents.

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The proposed system includes a comprehensive audit trail and filing log. This log includes the date and time of submission of all filing documents to the Clerk's EFiling Vendor. The Clerk's EFiling Vendor’s system will be configured to maintain the Clerk’s current processes and policies for applying file/time stamps to documents, and will apply that stamp accordingly. Only the Clerk’s office will be authorized and capable of reviewing electronically submitted documents, accepting or rejecting those documents, and, upon acceptance, applying the Clerk’s file stamp to such documents. At no time will the Clerk’s Office authorize either the vendor or a vendor system to review electronically submitted documents or to apply the Clerk’s file stamp to electronically submitted documents. The Clerk’s Office will not permit vendor to determine whether electronic filing is accepted. The vendor system(s) may have the stamping functionality, but a Clerk will determine whether the electronic filing is accepted and, by pressing a button, apply the Clerk’s file stamp.

At the time of transmission, the filer will receive a trace number, the date and time of transmission, and other relevant data in a confirmation of receipt e-mail from the vendor. This serves as the filer’s proof of delivery to the Clerk. The filer will also receive an email upon Clerk acceptance of the filing. Clerk acceptance time is the date and time that the document will be deemed as “filed” applying the same operational and processing rules applied to paper filings. Additionally, the “official” time that the electronically filed pleading is accepted will be updated on CIS and that data will be transmitted to the vendor.

Handling of special exchanges.

The proposed system includes functionality to handle “special exchanges” as required by statute, court rule and/or an order in the specific case. Note that, with the exception of a physical signature, all necessary “special exchanges” will be handled in a manner consistent with the Clerk’s current business and workflow processes as such are defined by stature, rule and court order. These functions are described below:

Signature Block: Pursuant to the Draft GAO, Section 7(c), each electronically filed document, including all pleadings, motions, papers, etc., that require an original signature when conventionally filed, shall bear a facsimile or typographical signature of the attorney or pro se party, authorizing such filing, (e.g., “/s/ Adam Attorney”), and shall be deemed to have been signed in person by the individual identified. Typographical signatures shall be treated as personal signatures for the purpose of this pilot. Documents containing signatures of third parties may be filed electronically, and shall bear a facsimile or typographical signature as described in this section. These signatures, as defined above, satisfy Supreme Court Rules and statutes regarding signatures, and give rise to the application of available sanctions when appropriate. Documents requiring a physical signature may also be signed, scanned, and then submitted through the proposed solution.

The Draft GAO, Section 8, entitled “Maintenance of Original Document”, covers maintenance of and producing for inspection the hard copy original, including the original signature, of any electronically filed documents stating that anyone filing an electronic document certifies, by so filing, that the original signed document exists in the filing person’s possession. The section also requires the filing party to maintain and preserve all documents containing original signatures that are filed electronically for a period of one year after the appellate process period has been completed. The filing party will be required to make those signed originals available for inspection by the Court, the Clerk of the Court or by other counsel, or self-represented litigant, in the case, upon reasonable notice, in writing, or as ordered by the Court. At anytime, the Clerk or the Court may require the filing party to produce for inspection the hard copy original, bearing the original signature, of any electronically filed document, which shall be provided within 3 business days after written notice or as ordered by the Court.

Sealed or Impounded Documents: Upon filing submission, a filer has the ability to designate the request for a document to be sealed/impounded or to indicate that a judge has sealed a case. This flag will be set within the submission, and the filing will come into the clerk’s intake box with that designation set. The processing clerk will have the ability to make the final designation of sealed on the document, based on an order entered by the judge in the specific case. Documents given a final designation of sealed will be designated as such through the metadata. In handling and exporting to the case management system or any document repository (paper or electronic), Clerk will continue to apply and follow policy and procedure currently applicable to impounded/sealed cases or documents.

Fee Management

The Clerk will continue to collect filing and other fees as required by statute. The Clerk's EFiling Vendor supports multiple credit cards and electronic funds transfers. During the filing process, the Clerk's EFiling Vendor will capture all payment information including a preauthorization. When the Clerk accepts the filing, the accompanying metadata will include payment data and verification. After acceptance, a direct payment process takes place where the Clerk's EFiling Vendor electronically collects the preauthorized fees and transfers the fees to the Clerk’s bank account. After verification, fee information will be transmitted to the Clerk’s Office for updating its financial management system.

The EFM will be required to provide the Clerk’s Office, at a minimum, audit logs/reports including data/metadata sufficient to allow the Clerk’s Office to track and to reconcile all payments and financial transactions include all credit/debit card and electronic checking/ACH transactions related both to successfully completed filings and payments and/or transactions where the payment failed.

The metadata used for managing fee collection and auditing/reconciling transactions and payments shall include, at a minimum, the following data:

Filing submission dateClerk processing (review/acceptance/rejection) datePayment type (credit/debit card, electronic check/ACH, etc.)Transaction trace numberFiler’s name and registration numberName of payment account holderCase NumberLast four digits of credit card or ACH accountCredit card expiration datePayment statusAuthorization codePayment amount

Using these metadata, the Clerk’s Office can uniquely trace each payment to a specific transaction on the EFM’s system, the payment processor’s system, or the Clerk’s case management or financial systems.

Filings at Public Access Terminals. The process for filing via a public access terminal will be the same for filing remotely from the internet. The party seeking to file electronically from a public access computer will be required to comply with the provisions of the Draft GAO. The filer will first be required to register as an electronic filer with the Clerk’s Office. To pay the statutory filing fees, the filer will be required to pay with a valid credit/debit card or through ACH (“Automated Clearing House”). The payment will be processed, authorized, collected, and deposited to the Clerk’s account using the same process and within the same amount of time for internet initiated e-filing transactions. At this time, it is not anticipated that cash-only transactions will be supported from a public access terminal. If a filer desires to pay fees in cash, the filer will be directed to the Clerk’s Office counter.

How Proposed Efiling System Meets the Following:

Interchange standards and compatibility with any statewide data access.

During the pilot, all electronically filed documents will be printed and handled by the Clerk’s Office following its normal business practices. All relevant data will be processed and stored in the Clerk’s existing case management system. Any interchange standards or compatibility should be determined with regard to the Clerk’s existing case management system. The Clerk’s Office will maintain and store the “official electronic documents” in its own document repository in PDF format.

To the extent that the electronic filing vendor and the Clerk’s Office exchange data, other than the electronic document, the Clerk’s Office and the vendor will agree on data exchange standards including data format and data elements to be transmitted the terms of which agreements shall be included in the contract documents. The Clerk’s Office’s primary intent, in formulating data exchange standards, is to ensure that the data exchange points meet the Clerk’s requirements to ensure timely, secure and accurate updating of the Clerk’s case management system. Consistent with this priority, the agreed upon data exchange standards for the proposed electronic filing pilot system will conform with the spirit of and be capable of data exchange based on the policy, functional and technical standards recommended in the most current versions of the National Center for State Courts. “Standards for Electronic Filing Processes”, the OASIS LegalXML Electronic Court Filing Proposed Standard, the OASIS LegalXML {Proposed Standard 1.1 ). The pilot data exchange standards will also, to the extent practical, conform to the Web Services and .Net framework which uses SOAP 1.1 which is compliant with W3C recommendations.

Integration of electronic with paper aspects of the system.

The system will continue to be primarily paper. All filed documents, regardless of whether filed in conventional or electronic format, will be retained on paper in the Clerk’s official document repository. At this time, the Clerk’s Office does not intend to scan conventionally filed documents into electronic format to support the e-filing case. All electronically filed documents will be printed and filed in the official court file. To the extent required by law, certain documents will continue to be microfilmed for long-term storage.

Ease of installation and maintenance.

As a managed solution, the Clerk’s EFiling Vendor will handle the burden of installation, maintenance, and hardware and software upgrades. The Clerk's EFiling Vendor will install its production environment at the Clerk’s data center. The Clerk's EFiling Vendor will also handle technical issues related to customer support and shall have help lines available for end-users with respect to communications, application and procedure.

Ease of use by the court, attorneys and parties.

The proposed electronic filing system is user-friendly designed with the court and filer community in mind.

Extensive usability testing, focus group studies, and user surveys will be conducted on a regular basis to ensure that the design of the product is user-friendly and meets the needs of filers and Clerk’s Office. Additionally, the Clerk's EFiling Vendor will provide extensive online help within its application and its support staff will be available to assist with any user issues 24x7. The vendor shall provide ongoing user training shall occur for Court and Clerk personnel related to the use of e-filing process and software.

The applications programs that support the transactions use standard Internet browser technology and are thus user friendly. Any person who has made a purchase over the Internet using a credit card should find the system easy to use. Ease of use is enhanced by the fact that filers do not have to convert documents from their native format.

Reliability.

To the extent that the Clerk’s Office will continue to use its legacy CMS, that system’s level of reliability is over 99 percent uptime. The vendor’s proposed efiling system is also very reliable. As stated above, the Clerk’s EFiling Vendor’s data center provides for continuous system operation with a 98.5 percent uptime. This service level will be included in the Clerk's EFiling Vendor contract.

High availability and low system failure rates will be achieved by full system redundancy. The Clerk’s EFiling Vendor’s network infrastructure will be designed to be fully redundant, preventing a single point of failure from disrupting dataflow. A fully redundant system teams every machine with at least one fail over counterpart. If one system component fails, the fail over will process transactions (at reduced capacity) until the original component is restored to service. System redundancy will be also built in on the individual machine component level. Power supplies, disk storage, and network connections will be fully redundant so as not to compromise system operation during a system failure. Operators will be consistently alerted when a failed component is ready to be restored to service.

Security.

All electronic filing transaction will occur through a connection between the Clerk's EFiling Vendor and the filer. No filer will have a direct connection with the Clerk’s systems. All communication between the Clerk's EFiling Vendor and the Clerk will be through a dedicated connection.

In addition to what is stated above, at the time of filing submission, the Clerk's EFiling Vendor’s system will be configured such that an authenticated filer will present a digital certificate with each filing. The digital certificate will authenticate the filer, and it must be registered with the Clerk's EFiling Vendor before filing. The Clerk's EFiling Vendor’s system will use an X.509 certificate embedded in a SOAP header to authenticate the service provider, with a user name and password for each user on all Web service calls. It will also leverage Web Services Security for Web Service authentication.

The Clerk’s EFiling Vendor’s system will also protect the privacy of all electronic filing transmissions by limiting communications between a filer’s browser and the electronic filing system to secure mode with HTTPS (Secure Sockets Layer [SSL]). Secure communications mode will begin when the filer logs in. SSL is a standard encryption technology commonly used in e-commerce applications. It provides a very high degree of security.

The Clerk’s EFiling Vendor’s system will enable the Clerk’s Office to control user access, filing fees, contact information, and configurable elements in the system. A Clerk’s employee shall control filer access to the system and privileges assigned to users. All users will be assigned user names and passwords for access. Additional security will enable the Clerk to limit access to documents based on filing type, specific case number, or other data elements as defined by the court. The Clerk’s Office shall administer authority of Clerk and court employees and filers using processes and policies currently in place.

Data integrity.

All documents and data in the vendor’s system will be replicated in the Clerk’s CSM and document storage system after review and approval by Clerk’s employees. These review, control and replication features provide data integrity. The Clerk's EFiling Vendor’s system will also enforce the Clerk’s rules the filer level ensuring that all required data is captured at the time of filing.

All data submitted through the Clerk’s EFiling Vendor’s system solution will be presented to the Clerk’s personnel and may be validated at the clerk level. Additionally, Clerk’s Office data edit rules incorporated into the CMS will be flagged at the time of import/export with a case management system. At all times the Clerk’s personnel will have the ability to override clerk-controlled data and metadata submitted by a filer. Any updates the Clerk makes to case data will be transmitted to the filer to ensure proper controls in the process. Additionally, the Clerk’s EFiling Vendor’s system will utilize the NCSC recommended process for query/response with the court’s case management solution to present back to the filer the case data as deemed accurate by the court—this may include party names and identifiers, case style, and other relevant data as maintained and controlled by the court. A filer will then be able to select data and, as appropriate, notify the court of any errors or inconsistencies noted in the data returned by the Clerk. This will help ensure the data integrity by providing the creator of the data with a means of informing the Clerk’s Office of possible data verification problems.

Reasonable controls.

Access to the system will be limited to authorized users who have a valid user name and password. The system itself will be limited to accepting the approved subset of case types. The Clerk’s EFiling Vendor’s system will enable the Clerk’s Office to control user access, filing fees, contact information, and configurable elements in the system. A Clerk’s employee shall control filer access to the system and privileges assigned to users. All users will be assigned user names and passwords for access. Additional security will enable the Clerk to limit access to documents based on filing type, specific case number, or other data elements as defined by the court. The Clerk’s Office shall administer authority of Clerk and court employees and filers using processes and policies currently in place.

Audit trails.

As explained throughout this Amended Application, the proposed system will include comprehensive audit trails at the Clerk's EFiling Vendor level and the Clerk level. On the proposed electronic filing system, every action taken by an authorized user, either the filer or a Clerk employee will be recorded with time, date and username of the person taking the action. This will include tracking all filing transmission data. The time of submission and the time of all subsequent actions will be recorded along with the username of

the person(s) taking an action on a filing. All payment information will be logged and captured. Filing actions such as accept or reject are recorded along with the time of the action and the username of the individual taking the action. Additionally, any data surrounding the case that is changed will be logged and recorded. The Clerk’s case management and financial management system will continue to use the audit trail and security policies currently in effect.

Long-term storage.

Long-term storage also will be handled at several levels all of which will afford the same or greater degree of protection as afforded to the Clerk’s current paper and electronic record. Primarily, the electronically filed documents will be printed out and processed for storage in conformance with current processes in place at the Clerk’s Office. The processes will be controlled by document retention rules and, where required, include permanent retention in microfilm.

Additionally, long-term storage of the electronic documents is addressed by the proposed solution. The proposed system will maintain all audit logs and metadata for filings submitted for a time period as deemed appropriate and necessary by the court. Following acceptance, the electronic versions of the documents will be stored both on the Clerk’s storage servers and on the vendor’s servers. Electronic storage of cases, filings and associated documents in these systems will be permanent as defined by the Clerk’s Office according to statute, rule and order. To that end, the Draft GAO, at Section 11, includes the following language regarding a retention period for electronically filed documents: “the Clerk shall keep, maintain and preserve, in readable electronic format, the official electronically filed document for a period of one (1) year after the appellate process period has been completed.” the Clerk’s Office is open to any input or guidance that the AOIC may wish to provide in this regard.

The EFM and EFSP’s will also retain unofficial versions of the electronically filed documents. As a part of the electronic filing process, the EFM and EFSP’s will also collect certain court data and metadata related to the electronic filing. With regard to the vendor’s retention of the unofficial version of date or metadata related to electronically filed documents, the agreement/contract between the Clerk’s Office and the EFM and/or EFSP’s shall provisions precluding vendor(s) from compiling or disseminating court data, including metadata. The EFM and EFSP agreements shall define all such data as “Confidential Information” of the Clerk’s Office and shall prohibit the vendor(s) from disseminating such information.

Cost-effective upgrade or replacement/data migration.

The Clerk’s case management system will remain the main repository of the electronic court record. Cost of upgrade or replacement and migration of data will not be affected by the electronic filing pilot. Changes in the Clerk’s hardware or software shall have no impact to the e-filing pilot process. The Clerk's EFiling Vendor’s software may change with versions of application software. The contract with the Clerk's EFiling Vendor, however, shall include comprehensive requirements regarding Clerk's EFiling Vendor’s product management process, which provides for the release and management of new technology several times a year without disruption to service. As a managed system, neither the Clerk nor end-users will be charged any fee for this kind of change.

Economy of operation.

There will be no additional cost added by the operation. The Clerk’s Office has maintained and will continue to maintain a case management system. All development on the Clerk’s system will be performed by the Clerk’s staff.

The Clerk's EFiling Vendor’s solution shall be designed to provide best-of-breed technologies to the Clerk, court and filer community without requiring expensive hardware, software and staff investments. As a managed service, the solution will scale to meet growing volumes without burdening the court IT staff. Instead, the solution will be vendor managed and will provide for a comprehensive, scalable, cost-effective solution.

A means of authenticating source of each document.

Each filer will be required to provide a unique username and pin to access the system. This username and pin will be used to track all filings submitted and a comprehensive audit log will track any actions taken by that filer. This combination of username and pin will serve as the filer’s digital signature and will be a part of the filing submission. The unique user name and pin will be annually validated during registration renewals. All documents submitted will be issued a trace number at the time of submission. This trace number will be provided back to the filer and to the court and will become a part of the Meta data associated with the document. Throughout the process, audit logs and security controls will ensure that the final document presented to the court is the original document as submitted by the filer. Means of authentication and security are also discussed at length in other portion of this Amended Application including, but not limited to, the following: Sections 5, 6 and 0(f).

Means of authenticating accuracy of transmission of each document.

At the time of each filing submission, the system will present the filer with a digital certificate. The digital certificate will authenticate the filer, and it must be registered with before filing. The system will use an X.509 certificate embedded in a SOAP header to authenticate filers, with a user name and password for each user on all Web service calls. The Clerk's EFiling Vendor’s system will leverage Web Services Security for Web Service authentication.

Additionally, the filer will have the ability to view the document throughout the process and receives a final, file-stamp copy upon acceptance by the clerk, allowing the filer to view, monitor, and ensure accuracy

of the submitted document(s). Means of authentication and security are also discussed at length in other portion of this Amended Application including, but not limited to, the following: Sections 5, 6 and 10(f).

Means of accurately ascertaining the date and time of filing.

The system will utilize a Universal Time Call to ensure that the system clock is always accurate. This clock is utilized to track the date and time of submission from the service provider to the vendor’s system. The time stamp will then be applied to file documents upon acceptance by the Clerk’s Office according to rules of the court. The date and time of filing shall be recorded as a file stamp similar to the way in which the Clerk’s Office stamps paper filings. Means of authentication of date and time of filing are also discussed at length in other portion of this Amended Application including, but not limited to, the following: Sections 5, 6, 8(g) and 10(f).

Verification of the date and time of filing.

Upon submission of the filing document with the court, the filing party will receive an immediate confirmation of the document delivery via his or her service provider. This confirmation will include the date and time of submission and a trace number to be used in tracking the filed document with the court. Additionally, email notifications may be sent to the filer alerting them of the date and time of submission and including other relevant document information. Upon acceptance of the document by the court, the filer will receive notification back of the acceptance and a copy of the document which will bear the file stamp of the court including the date and time of filing. Means of authentication of date and time of filing are also discussed at length in other portions of this Amended Application including, but not limited to, the following: Sections 5, 6, 8(g) and 10(f).

Electronic signature. The proposed system will not initially utilize electronic signatures. Instead, as described in this Amended Application at Section 5, 6 and 10(f), it will rely upon the user name and password as proof of a filer’s identity. This will be more cost-effective for filers, will be more portable, and we believe will create higher adoption rates while still providing a secure means of identifying filers and delivering documents. However, if required, the system could be configured to utilize electronic signatures in conformance with the Illinois Electronic Commerce Security Act (5 ILCS 175, et seq.).

A means to produce paper copies of documents filed electronically.

The Clerk’s Office will be able to provide paper copies of all electronically filed documents. Upon acceptance of a filed document, a file-stamp copy of the document will be created electronically bearing the mark of the clerk (as designed and designated by the clerk during implementation). A copy of this document will then be available for printing. The Clerk’s Office will print all electronically filed documents for inclusion in the official court file. Paper copies of these documents can be produced in the usual manner used to reproduce filed papers. Additionally, the vendor and the Clerk’s Office will maintain electronic versions of the documents. These documents may be printed out as described in the first part of this section.Secure back-up data storage device.

Clerk electronic court record data will continue to be maintained in the Clerk’s CSM and all current back-up procedures will remain in full force and effect. With regard to the electronic filing system, documents, and all associated indexing data, submitted electronically will be transferred to the Clerk’s designated storage location. This information shall be subject to the Clerk’s standard information systems back-up and recovery procedures currently in place or as required in the future. Additionally, the Clerk's EFiling Vendor’s system will include a complete redundancy and back-up solution. The Clerk’s Office will also maintain the hard copies according to its current recordkeeping practices.

A means to make a microfilm reproduction of documents filed electronically. The Clerk will continue to follow current microfilming practices as legally required. Nothing in the proposed system will change the Clerk’s current practices regarding microfilming.

Five Requirements

Filing shall be limited to clerk registered attorneys.

See Responses to AOIC Policy, Nos. 5 and 6 above. All electronically filed documents will be checked against the authorized user database to ensure that the username and pin combination are valid. This will be tracked and recorded in the audit log at time of transmission. Additionally, all filers submitting documents shall be required to utilize the secure channel for transmission, and all activities are tracked and logged between the two sources insuring that the document submitted and the filer submitting are authenticated.

The form of filing shall not affect the right of public access to court files.

Public access to court files will not be affected by the form of filing. The Clerk’s Office shall print out all electronically filed documents and place them in the official court file. Additionally, all filing events will continue to be recorded in the Clerk’s Office CSM which includes the electronic court docket.

Printed copies of electronically filed document available.

The Clerk’s Office will continue to provide copies and/or printouts from the official court files and/or case management system at a reasonable cost or as directed by statute or rule.

The Clerk remains responsible recordkeeping.

The Clerk’s Office will continue to make, keep and preserve complete records of all circuit court proceedings in accordance with all applicable statutes, orders and rules.

Filing fees shall be applicable as provided by law.

As described more fully above, all applicable filing fees shall be assessed, recorded, applied and disbursed as required by statute or rules.

Administrative Director May Approve, Disapprove, or Request Modifications.

The Clerk of Circuit Court and the Chief Judge acknowledge, agree and understand that the Administrative Director may approve, disapprove, or request modification of the circuit clerk’s proposal, giving notice of her/his action to the chief judge and the clerk of the circuit court.

Scope of Filing.

As described specifically in this application, the Clerk’s Office’s proposed pilot electronic filing project shall comply with all requirements of this Section of the AOIC Policy. Specifically, the Draft GAO,

Sections 1, 3, 7 and 8 cover and limit the scope of electronic filing consistent with the Supreme Court’s Electronic Filing Policy.

1) Pilot Limited to Electronic Line Transfers Excluding Facsimile.

The Draft GAO, Section 1, entitled “Purpose”, specifically excludes applicability to facsimile transmissions stating as follows: “This General Administrative Order is issued to govern the electronic filing and electronic service of court documents, by any method other than fax filing, in the Circuit Court of Cook County. Electronic filing is limited to electronic line transfers including electronic transmission of court document filings and electronic service of those documents. This General Administrative Order excludes transfers of information by means of a facsimile transmission device (fax), and has no effect on any existing statutes, Supreme Court Rules or Cook County Circuit Court rules or orders governing facsimile transmissions.”

2) Pilot Scope Defined By Amended Application and Subject to Approval.

The Draft GAO, Section 3, which is entitled “Scope”, limits the pilot scope to Commercial Litigation cases and acknowledges that any7 modification requires approval of the Administrative Director.

3) Certification of Maintenance of Original Verified Pleading.

The Draft GAO at Section 8 covers maintenance of the original document bearing a signature and requires the attorney to maintain and produce the original upon request.

4) Duty to Serve.

The Draft GAO at Section 10, covers the filing party’s duty to serve copies and states that the filing party is not relieved of any duty to serve copies required by rule, statute, or law.

5) Wills or Other Testamentary Documents.

The Draft GAO at Section 5, entitled “Scope-Documents Electronically Filed”, specifically excludes electronic filing of wills or other testamentary documents.

6) Limitations on Electronic Filing Case Categories.

This is covered by the Draft GAO Section 3 and this Amended Application. It is understood and agreed that electronic filing is limited to the stated case categories.

Protocol Requirements.

As described specifically in this Amended Application as the Clerk’s responses to A. 10, (m) – (r) and the terms of the Draft GAO, the Clerk’s Office’s proposed pilot electronic filing project shall comply with all of the Electronic Filing Protocol requirements set forth in this Section of the AOIC Policy. Specifically, regarding the means to produce paper copies of documents filed, the Clerk’s Office will receive electronically filed documents in PDF format which maintains the original formatting. Any EFM agreement will require that the electronically filed documents are capable of being printed retaining all formatting included in the original electronic document. In addition, Section 7 of the Draft GAO, entitled “Format of Electronically Filed Documents” requires that electronically filed documents must comply with all existing rules, statutes, orders and laws regarding formatting, that the electronically filed documents must be capable of being printed as if printed from the authoring program, and that the document must include certain formatting requirements regarding signatures.

Regarding copies of the electronic document bearing an original signature, the Draft GAO, at Section 8 which is entitled “Maintenance of Original Documents”, requires the filer to maintain a paper copy of the original document, including the original signature, stating as follows:

“Maintenance of Original Documents.

a) Anyone filing an electronic document that requires an original signature certifies, by so filing, that the original signed document exists in the filing person’s possession. Unless otherwise ordered by the Court, the filing party shall maintain and preserve all documents containing original signatures that are filed electronically. The filing party shall make those signed originals available for inspection by the Court, the Clerk of the Court or by other counsel, or self-represented litigant, in the case, upon reasonable notice, in writing, as provided herein, or as ordered by the Court. At anytime, the Clerk or the Court may require the filing party to produce for inspection the hard copy original, bearing the original signature, of an electronically filed document, which shall be provided within 3 business days after written notice or as ordered by the Court.

b) All documents that are required to be maintained and preserved must be kept for one year after the appellate process period has been completed.”

Management of Electronically Filed Documents.

As described specifically in this application, the Clerk’s Office’s proposed pilot electronic filing project shall comply with all requirements of this Section of the AOIC Policy.

Oversight Responsibilities.

As described specifically in this application, the Clerk’s Office’s proposed pilot electronic filing project shall comply with all requirements of this Section of the AOIC Policy.

WHEREFORE, based on this amended application, the Clerk of the Circuit Court of Cook County, Illinois respectfully requests the Supreme Court, through the Director of the Administrative Office of Illinois Courts, to authorize, implementation of a pilot electronic filing project as described in this amended application.

Authorized By, Respectfully Submitted,

Hon. Timothy Evans Hon. Dorothy BrownChief Judge Clerk of the Circuit CourtCircuit Court of Cook County, Illinois Cook County, Illinois