1 / 36

Electronic Court Filing 3

Electronic Court Filing 3. Technical Overview. DRAFT December 21, 2007. Where it all began. LegalXML.org Community – 1998 Legal, court, business, academic, and technology professionals Collaboration on nonproprietary standards for the legal community LegalXML Inc. – December 2000

omar-carr
Télécharger la présentation

Electronic Court Filing 3

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Electronic Court Filing 3 Technical Overview DRAFT December 21, 2007

  2. Where it all began • LegalXML.org Community – 1998 • Legal, court, business, academic, and technology professionals • Collaboration on nonproprietary standards for the legal community • LegalXML Inc. – December 2000 • Nonprofit corporation ECF 3 Technical Overview

  3. OASIS LegalXML Member Section • LegalXML joined the Organization for the Advancement of Structured Information Systems (OASIS) – March 2002 • Advantages: • Funding, infrastructure, organization • Part of a recognized standards body • Proven open technical process • Broader community – ebXML, WS-Security, SAML, UBL, … • Active Technical Committees – TC’s: • Electronic Court Filing (ECF) • eNotary ECF 3 Technical Overview

  4. What does the ECF TC do? • The LegalXML Member Section develops specifications for the use of XML to create and transmit legal documents • The ECF TC develops specifications for other functions essential to the e-filing process: • Querying a court for data or documents • Expressing unique court policies and requirements • Providing legally sufficient service of court filings • Linking electronic documents to case management systems • Linking to document management systems • Handling payments associated with electronic filings • Security to ensure confidentiality, authenticity, correctness, and completeness of information transmitted ECF 3 Technical Overview

  5. What happened to 1.0 and 2.0? • Previous specifications: • LegalXML 1.0 (2000) • LegalXML 1.1 (2001) • Court Document 1.1 (2002) • Query and Response (2002) • All approved by industry organizations and in use today by courts and vendors • The latest release of the ECF standard is 3.x, rather than 2.0, to reflect association with GJXDM 3.x Justice XML 1.0/2.0 GJXDM 3.0.x ECF 1.x ECF 3.x ECF 3 Technical Overview

  6. What’s new in ECF 3? • Addresses new requirements based on experience with LegalXML 1.x • Supports NCSC’s Standards for Electronic Filing Processes (Technical and Business Approaches) approved in 2003 • Electronic service (secondary service on parties already associated with the case, not primary service on new parties) • Access to court documents and data • Elements needed to initiate new case filings for all case types • Payments of fees and other court obligations • Electronic court policy • Advanced features of document and message authentication, integrity, and security ECF 3 Technical Overview

  7. Technology changes in ECF 3 • Uses XML schema rather than DTD • Leverages new and emerging standards: • Vocabularies: • GJXDM • UBL • Web services • W3C • OASIS • WS-I ECF 3 Technical Overview

  8. How does ECF 3 relate to the GJXDM and NIEM? • Global Justice XML Data Model (GJXDM) conformance was a core objective of ECF 3 • ECF 3 uses GJXDM version 3.0.3 where the structures and definitions correspond to the requirements of ECF 3 • Newer versions of ECF will conform with the National Information Exchange Model(NIEM) GJXDM ECF 3 Technical Overview

  9. Document Incident Location Metadata Organization Person Activity Arrest Case Citation Contact Info Court GJXDM core components used by ECF 3 messages • Property • Subject • Supervision • Vehicle • Warrant GJXDM Core Components ECF 3 Technical Overview

  10. Interoperability • A primary objective of the ECF architecture is to support interoperability among: • Court case management systems • Court document management systems • Court hosted e-filing systems • Vendor hosted e-filing systems • Law firm case management systems • Any combination of the above ECF 3 Technical Overview

  11. Architecture Strategies • Separate architectural components • Core (messages) • Service interaction profiles • Document signature profiles • Policies (human and machine) • Multiple technical solutions • Service interaction profiles (two so far) • Document signature profiles (five so far) ECF 3 Technical Overview

  12. Architectural Components • Core specification • Defines Major Design Elements (MDE’s) and the operations and messages that are exchanged between them • Service interaction profiles • Describes transmission system infrastructures that deliver messages between MDE’s • Document signature profiles • Describes mechanisms for signing electronic documents • Court Policy • Documents in both human readable and machine readable form policies, procedures, and codes required to support e-filing functions in a given court ECF 3 Technical Overview

  13. Major Design Elements (MDE’s) • ECF divides the electronic filing process into four MDE’s and describes the messages passed between them Service MDE Filing Assembly MDE Filing Review MDE Court Record MDE ECF 3 Technical Overview

  14. Service MDE • Enables a party to receive service electronically from other parties in a case (secondary service only) Service MDE Filing Assembly MDE Filing Review MDE Court Record MDE ECF 3 Technical Overview

  15. Filing Assembly MDE • Enables a filer to submit a filing and receive a response from the court • Supports service on other parties in the case Service MDE Filing Assembly MDE Filing Review MDE Court Record MDE ECF 3 Technical Overview

  16. Filing Review MDE • Enables a court to receive and review a filing message and respond to filers • Prepares filings for recording in the court CMS and DMS • Enables filers to obtain court policies and status of filings Service MDE Filing Assembly MDE Filing Review MDE Court Record MDE ECF 3 Technical Overview

  17. Court Record MDE • Enables a court to store electronic documents • Enables a court to post docket entries and other updates to its CMS and DMS applications • Enables filers to obtain service information, case information, and documents Service MDE Filing Assembly MDE Filing Review MDE Court Record MDE ECF 3 Technical Overview

  18. Sample Configuration #1Court Hosted • All MDE’s are implemented at the court ECF 3 Technical Overview

  19. Sample Configuration #2Third Party Filing Assembly MDE ECF 3 Technical Overview 19

  20. Sample Configuration #3Multiple Filing Assembly MDE’s ECF 3 Technical Overview 20

  21. Sample Configuration #4Law Firm as Filing Assembly MDE ECF 3 Technical Overview 21

  22. Sample Configuration #5Portal with split Filing Review MDE Functions ECF 3 Technical Overview 22

  23. Sample Configuration #6Portal with 3rd Party Filing Review MDE’s ECF 3 Technical Overview 23

  24. Core Message Case-Type-Specific Message Court-Specific Message Attachment Attachment ECF 3.x Message Stream Messages • A message stream contains: • A required core message • Basic information common to all courts and case types • An optional case-type-specific message • Information appropriate only for a particular type of filing • An optional court-specific message • Information appropriate only for cases in a particular court ECF 3 Technical Overview

  25. More on messages… • A message is an XML document transmitted between MDE’s that validates against a message schema • All messages are asynchronous • Supports SOA principle of stateless design • A message may include binary-encoded documents • Embedded in the message using the GJXDM <j:DocumentBinaryData> element, or • Included in one or more MIME attachments to the message stream ECF 3 Technical Overview

  26. Operations • ECF operations are defined in the core specification, including: • Operations supported by each MDE • The normal sequence of operations • Business rules for each operation ECF 3 Technical Overview

  27. Note: Operations shown in bold text are required ECF 3 Technical Overview

  28. Additional Operations • Other query operations • GetFilingList • GetFilingStatus • GetCaseList • GetCase • GetDocument ECF 3 Technical Overview

  29. Service Interaction Profiles • Service interaction profiles support interoperability and reusability • The core specification defines a comprehensive list of nonfunctional requirements for service interaction profiles and document signature profiles • Each profile defines exactly how it meets and implements each nonfunctional requirement ECF 3 Technical Overview

  30. Service Interaction Profiles (continued) • Each service interaction profile must support: • Transport Protocol • MDE addressing • Operation addressing • Request and operation invocation • Synchronous mode response • Asynchronous mode response • Message/attachment delimiters • Message identifiers • Each service interaction profile should support: • Message non-repudiation • Message integrity • Message confidentiality • Message authentication • Message reliability • Transmission auditing ECF 3 Technical Overview

  31. Service Interaction Profiles (continued) • Current service interaction profiles • Web services (based on WS-I Basic Profile) • Portable media (sneakernet) • Potential future service interaction profiles • Electronic mail (e-mail) • ?? ECF 3 Technical Overview

  32. Document Signature Profiles • Each document signature profile must support: • Signer name assertion • Signed date assertion • Multiple signatures • Each document signature profile should support: • Signer and date non-repudiation • Document integrity • Document signature auditing ECF 3 Technical Overview

  33. Document Signature Profiles (continued) • Currently defined document signature profiles • Null • XML Signature • Application-specific • Proxy and Symmetric Key • Potential future document signature profiles • Password • Password/PIN ECF 3 Technical Overview

  34. Court Policies • Court policies support customizations and local practices through: • Human-readable court policy • May be HTML, text, or other document format • Court’s rules and requirements for electronic filing • Machine-readable court policy • Must be XML (an ECF 3 message) • ECF 3 options supported in the implementation • Court code lists and extensions • Design-time and run-time information • Courts should start with small core set of information and expand as semantics can support ECF 3 Technical Overview

  35. Lessons Learned • Separate functional and nonfunctional designs • Messages vs. service interaction profiles • Standardized services – not applications • Leverage standards (e.g., GJXDM, UBL) for content • Enclose documents with messages using MIME or DIME attachments rather than embedding • Use the GJXDM extensions mechanism where possible, but multiple layers of extensions complicate interoperability • Where appropriate, describe and enforce customizations in schema • Document remaining customizations separately ECF 3 Technical Overview

  36. Questions? Getting the standard: http://www.oasis-open.org/committees/tc_home.php?wg_abbrev=legalxml-courtfiling Contacting the Committee: Ron Bowmaster, Public Sector Co-Chair tclarke@ncsc.dni.us John Greacen, Private Sector Co-Chair john@greacen.net Thanks to the many contributors to the ECF standard! ECF 3 Technical Overview

More Related