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Home < Case Processing < Electronic Case Files
Status Commenced implementation on January 1, 2003
The Administrative Office of the United States Courts is moving swiftly to implement a case management/electronic case filing (CM/ECF) system in all district, appellate, and bankruptcy courts nationwide. Currently there are 93 District courts in the process of implementing CM/ECF, including 55 District courts that are now live on the system. The case management (CM) and docketing portion replaces the aging software currently used by most courts with a nationally-supported but flexible system that allows courts to customize its own docketing and reporting capability. The electronic case files (ECF) portion allows courts to manage documents electronically to whatever extent they choose, from allowing attorneys to e-file documents and create docket entries over the Internet, to having court staff convert paper documents into electronic form by scanning. It also provides 24-hour access to case files by judges, court staff, and the public in a reliable and secure electronic form. Potential advantages of CM/ECF include the concurrent availability of complete case files and documents to multiple users, as well as reduced physical storage needs and traffic in the clerk's office. In addition, notices of filings and other case activity are automatically transmitted to case participants via e-mail and documents are instantly accessible via the Internet. Delays and added expenses associated with mail or courier services will be a thing of the past. If the system's ECF capabilities are fully used, most documents will never arrive at the Clerk's Office intake window. The primary method to obtain access to electronic case files through the Internet is through a modified version of the old Public Access to Court Electronic Records (PACER), called ECF-PACER. This new web-based system contains both the dockets (a list of the documents filed in the case) and, in cases in which the court is accepting electronic case filings, electronic copies of the actual case file documents. Individuals who seek off-site access to a particular document or case file will need to open a PACER account and obtain a login and password. Logins and passwords from the old PACER system are transferable to the new system. Like PACER, an individual may access case files in ECF PACER whether those files were created by imaging paper files or through CM/ECF, over the Internet. In addition to maintaining a PACER account, those members of the Bar who are participating in an electronic case will also need a separate ECF login and password. Although they will access the system in the same manner as the general public, their unique password and login will give them access to an array of screens that will allow them to file pleadings and notify all cases participants electronically. Access through PACER involves a fee of $.08 per page of a case file document or docket viewed, downloaded or printed. Electronic case files are also available for viewing free of charge at our public computer terminals located in the Clerk's Office on the first floor of the Rudman Courthouse. CM/ECF implementation has been a significant undertaking. This 10-month period included time to plan, develop, and implement policies and procedures, receive and provide training, customize the system, and convert data from existing case management systems. Implementation of a fully functional ECF component, including the capability for allowing electronic filing by members of the Bar, occurred in civil cases on June 1, 2004, and occurred in criminal cases on January 1, 2005. Portable Document Format (PDF) InformationAll documents submitted through the court's ECF system must be filed in Portable Document Format (PDF).\ Thus, users will need PDF software to both read these documents, known as PDF reader, and PDF software to create these documents, known as PDF writer or creation software. If you have Corel WordPerfect Version 9 or above, your word processing program already has the capability to create PDF documents by clicking on File => Publish to PDF . If you have Microsoft Windows, you can check by clicking on Start => Settings => Printers and review whether you have a PDF printer listed, such as Acrobat Distiller, PDF Writer, PDF995, or any PDF-like listing. Depending on the functionality of these existing systems, however, you may nonetheless want to purchase different PDF creation software. How to Convert Word Processing Documents to PDF - You must convert all of your documents from their native word processing application to PDF format using PDF creation software before submitting them to the court through the ECF system. Although the court cannot endorse any specific PDF vendor, we have chosen to depict our instructions with reference to Adobe. For instructions on how to convert documents to PDF format, click here. Assure Your Converted PDF Retained the Desired Pagination/Format – Depending on the font, headers, the printer selected, and other document characteristics, the pagination and format of a document may change during the conversion process. Thus, you always want to be careful to review converted documents to assure they maintained the desired format before submitting the document through ECF. If the document changed format, you may want to simplify the font or other document characteristics or try a different method of converting to PDF, such as using PDF Distiller rather than PDF Writer or even trying to Publish to PDF if you have WordPerfect 9 through 11. You may also want to try downloading an alternative PDF writer software, such as PDF995, and reattempt conversion. Lastly, you can purchase an annual customer service contract with most vendors to assist you with this process. Reference Materials
ECF Registration A person must register with both PACER and ECF in order to file documents electronically. An attorney admitted to the Bar of this court, including an attorney admitted pro hac vice, may register for ECF. A non-prisoner who is a party to a civil action and who is not represented by an attorney may file a motion to register and, if granted, may also register on ECF. The ECF Registration Form must be completed and mailed to the following address: Office of the Clerk of CourtUnited States District Court 55 Pleasant Street, Room 110 Concord, NH 03301-3941 ATTN: ECF Registration Once an account has been established, your login and password will be sent to you by the clerk's office by e-mail. A Filing User who learns that the security of their password has been compromised must immediately notify the clerk's office. Credit Card RegistrationIn order to file certain documents in ECF, such as case initiating documents, pro hac vice motions and notices of appeal, a Filing User must also complete and mail an ECF Credit Card Blanket Authorization Form to the address in the immediately preceding section to the attention of Cathy MacEwan, CMECF Help Desk. Without an ECF Credit Card Blanket Authorization Form on file with the clerk's office, such pleadings must be filed in the traditional manner together with the appropriate filing fee. The court recommends attorneys should submit their ECF Credit Card Authorization Form at the same time they register for ECF. The clerk's office will assure all credit card information will be secured and kept confidential. Law firms may submit one authorization form containing a firm credit card on behalf of all authorized users. The name of each attorney authorized to use the credit card for filing purposes should be listed in the appropriate box or on a list attached to the form. An attorney who would like to change the credit card information on file should submit a new ECF Credit Card Blanket Authorization Form to the clerk's office. The attorney should also check the box on the form that indicates the credit card information should replace the information already filed. If it is a firm credit card, a replacement authorization form should be submitted any time the firm wishes to add or delete authorized users. Training
The following is an excerpt from an Administrative Office publication on the issue: In accordance with the security plan, numerous controls have been built into CM/ECF. The major technical controls are described below.
You will need the following skills:
1. What is the case management/electronic case files project? ANSWER: CM/ECF is a joint project of the AO and the federal courts to replace the existing case management systems in the federal courts, e.g., ICMS Civil/Criminal, the Appellate Information Management System (AIMS), BANCAP, NIBS, etc., with a new case management system based on current technology, new software, and increased functionality requested by the courts. In addition to providing the courts with updated tools for managing their cases, this new system will enable the courts to maintain electronic case files and offer electronic filing over the Internet. 2. What are the benefits and features of using CM/ECF for courts, attorneys and the public? ANSWER: There are a number of significant benefits and features for courts, attorneys and the public:
3. Do courts have to use the electronic case filing portion of CM/ECF? ANSWER: No. Courts may choose to use only the case management portion of the new software and continue as a paper only operation. The Electronic Case Filing (ECF) portion is optional. There are multiple ways that courts can use the ECF capabilities. They can scan documents received in paper form or they can permit filing of documents in electronic form. Scanning may be needed as a supplemental process to convert documents that cannot be obtained in electronic form. 1. How many users can submit documents at once? ANSWER: There is no fixed limit. Response time and expanded use will ultimately tell us what the acceptable limit might be. Enhancements to communications capacity is expected to be an ongoing task to ensure that we meet the needs of the users. 2. How many people at a time may view a document? How many people at a time may view the docket? ANSWER: There are no limitations for either function. 3. Will the creator of the docket entry be identified? ANSWER: Yes. All entries can be identified by the name of the person that logged in and submitted the entry. Whether and how a person's name appears in a docket entry may be determined by the court (e.g., full name, initials, etc.). 4. Is there a limit to the number of aliases a party may have? ANSWER: No. 5. How will signature of documents be handled for documents filed electronically? ANSWER: At present, this is a matter for local court rule or order. Most courts are currently treating use of an attorney's unique system login and password as a signature. Many courts require that attorneys retain copies of critical paper documents, such as affidavits or bankruptcy petitions, containing original signatures of parties for a set period of time. 6. What technical expertise is required? ANSWER: CM/ECF is easy to learn and requires little technical experience to use. The basic technical skills needed are familiarity with using Windows and a web browser. 1. Will there be restrictions on who may file documents on CM/ECF? ANSWER: Each court determines to whom filing logins and passwords are issued. At the present time, we are contemplating allowing only attorneys to participate in electronic filing. 2. How is filer identity authenticated? ANSWER: Authentication is currently completed at login. Each user is required to identify himself or herself by presenting a valid combination of user name and password. Upon doing so, access to the site is granted. 3. Can the general public view ECF cases and the documents in those cases? ANSWER: Access to view cases and documents in CM/ECF is available to anyone with a PACER login and password. PACER offers convenient electronic access to case file documents, listing of all case parties, reports of case related information, chronologies of events entered in the case record, listing of new cases, judgments or case status, and a calendar of events. However, as a result of the policy recently adopted by the Judicial Conference, the public cannot view documents filed in Civil Social Security Appeal cases. To defray the costs of PACER and CM/ECF, the Judicial Conference has set a fee of eight cents per page for electronic court data via the internet, except for calendar information, for which there is no charge. The fee applies to all users, although courts may exempt certain persons, such as indigents. Parties entitled to documents as part of the legal process receive a free electronic copy, although they will be charged for replacement copies, whether in paper or electronic form. 1. How does the system handle the filing of a multi-part motion? ANSWER: The types of motions that an attorney or court personnel can file are displayed in a drop down window. The user can select one or a list of motions, using the control key and the mouse. The filer should select as many different motions from the list as required to accurately reflect the reliefs sought. CM/ECF then processes each of the motion parts, one at a time, leading the filer through the steps necessary to complete each part. Orders ruling on multi-part pleadings can dispose of each relief separately. 2. When a user files a pleading with the court does the system automatically serve the other parties or does the user have to do something extra to serve the others? And, do the other parties just get notification of a filing or do they get the actual document? ANSWER: The system is set up so that when a court user or attorney files a document with the court, a notice of electronic filing is generated that includes information about what was filed, the text of the docket entry, the unique document stamp, and a list of case participants that receive email notification of the filing and a list of those that do not. The notice of electronic filing sent to those listed as receiving email notification contains a hyperlink to the document. For users participating in ECF, receipt of this notice through the court's transmission facilities constitutes "service" by parties as required Fed.R.Civ.P.5(b) and Fed.R.Crim.P.49(b). Other parties who are not registered CM/ECF filers must be served in the traditional manner, with paper documents. 3. Will the system support scanned documents in color? ANSWER: Yes, the system does support scanned and all other documents in color, however, the size of the color document may be an issue. This will be addressed in a procedural order issued prior to our ECF go live date. 1. How does CM/ECF handle sealed records? Does it track their content and filing location or merely indicate that a document was placed under seal? Are sealed documents stored in the Informix database? If so, what controls govern who may view them? ANSWER: CM/ECF currently has control levels for document access that allow the court to control who can access each document. Documents may be restricted in one of two ways: by case, access to all documents in a case may be restricted or by document, access to a particular document in a case may be restricted. Restrictions to viewing a document is by the class of users defined as: no restriction, only users with logins, only users with court logins and case participants with logins, and only court personnel. Most courts require the motion to seal to be filed electronically and the relevant documents to be filed in paper form. 2. Will ECF have Applied Docketing capabilities that will allow a user to apply one transaction to more than one case? ANSWER: Yes, CM/ECF supports Multicase Docketing, for making the identical entry with the same document in each case; and Batch Filings, for making the same entry but with different documents for each case. Hardware/Software Requirements 1. What hardware and software will attorneys need to participate in ECF?
2. Is ECF browser specific? ANSWER: ECF was designed to work with Internet Explorer 5.5 and Netscape 4.76. Internet Explorer 5.5 is no longer available for download from Microsoft. Although not "certified," ECF appears to work equally well with Internet Explorer 6.x, Netscape 7.x and Mozilla 1.7x. Bankruptcy version 1 is compatible with Netscape versions 4.6 or 4.7. The CM/ECF team is currently testing the bankruptcy version 1 product with Internet Explorer version 5.5 to certify its compatibility with the CM/ECF system. However, we currently have some users accessing the system through Internet Explorer with positive results. In either case, your browser must be JavaScript-enabled. 3. Is ECF word processor specific? ANSWER: No, you may use any word processor that can convert documents to PDF. 1. Can an attorney add new attorneys to the database? ANSWER: Only court staff with appropriate permissions may add attorneys to the database as system users. 2. What should an attorney or court user do if the document he or she is filing is not listed in the pick list? ANSWER: Each court maintains its own event dictionary. If a user wishes to file a document that is not listed in the pick list, he or she can contact the person maintaining the dictionary and request that an event be added. It is up to the court to determine whether to add a new docket dictionary event. 3. Is CM/ECF browser specific? ANSWER: ECF was designed to work with Internet Explorer 5.5 and Netscape 4.76. Internet Explorer 5.5 is no longer available for download from Microsoft. Although not "certified," ECF appears to work equally well with Internet Explorer 6.x, Netscape 7.x and Mozilla 1.7x. In either case, your browser must be JavaScript-enabled. 4. Is CM/ECF word processor specific? ANSWER: No, you may use any word processor that can convert documents to PDF. 5. Can the general public view CM/ECF cases and the documents in those cases? ANSWER: Access to view cases and documents in CM/ECF will be available to anyone with a PACER login and password. PACER offers convenient electronic access to case file documents, listing of all case parties, reports of case related information, chronologies of events entered in the case record, listing of new cases. However, as a result of the policy recently adopted by the Judicial Conference, the public cannot view documents filed in Civil Social Security Appeal cases or Criminal cases. To defray the costs of PACER and CM/ECF, the Judicial Conference has set a fee of eight cents per page for electronic court data via the internet, except for calendar information, for which there is no charge. The fee applies to all users, although courts may exempt certain persons, such as indigents or bankruptcy case trustees. Parties entitled to documents as part of the legal process receive a free electronic copy, although they will be charged for replacement copies, whether in paper or electronic form. 6. Will someone submitting a long document monopolize the system to the detriment of other users? How long will it take to transmit/receive lengthy documents? ANSWER: A user submitting a large document to CM/ECF will not interfere with other users' access. The system uses webbed technology which is designed to service large numbers of users simultaneously. The time it takes to transmit or receive a document primarily depends on the user's Internet Service Provider (ISP), modem speed, and the size of PDF file being transmitted or received. Generally, the larger the file, the longer it will take to load. Our procedural order will limit the size of documents that can be filed. In most instances, however, the size of the document will not be restricted by the electronic filing process. The CM/ECF system will accept both text and image PDF files. The text PDF file is usually the result of saving a document from a word processor in PDF format using Adobe Acrobat PDFWriter. The image PDF file is usually created by scanning a paper document in PDF format. The text file can be transmitted to the CM/ECF application faster than the image file because it is much smaller in size. While the difference in speed is usually not noticeable in a 1 or 2 page document, the difference can be significant when a document reaches about 20 pages in length. 7. How will signature of documents be handled for documents filed electronically? ANSWER: At present, we are planning on treating use of an attorney's unique system login and password as a signature. We may also require that attorneys retain copies of critical paper documents, such as affidavits or bankruptcy petitions, containing original signatures of parties for a set period of time. 8. How are fees paid? ANSWER: We allow attorneys to pay fees for cases filed electronically via credit card payment. The attorney will complete and submit to the court a Credit Card Authorization form with a credit card number for the court to use. The court will maintain the credit card numbers in a secure area and process the fees the day following any filings. Most courts continue to accept cash and checks for over the counter filings. Currently, several courts are testing a new enhancement which allows filers authorized by the court the ability to directly pay filing fees on CM/ECF using the U.S. Treasury Internet credit card service. 9. What happens if a document is filed in error? ANSWER: CM/ECF allows court personnel to edit errors made in the docket entry. Besides making the appropriate corrections, the court may need to ask participants to submit amended pleadings. Instances that affect calendar entries and noticing will need to be redocketed. Many courts are choosing not to edit the docket entry and use a “corrective entry” event, which officially records substantive errors on the docket sheet and will generate a Notice of Electronic Filing. This allows the distribution of the correct information to the participants who originally received the erroneous information. 10. Will official court transcripts be filed electronically? ANSWER: Each court, after consulting with the judges, clerk's office staff and court reporters, will decide in what manner the official record of proceedings will be available as part of the ECF record. |
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