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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 - PowerPoint PPT Presentation
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www.oasis-open.org
Electronic Court Filing 3
Technical Overview
DRAFT
December 21, 2007
www.oasis-open.org
ECF 3 Technical Overview 2
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
Where it all began
www.oasis-open.org
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
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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
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ECF 3 Technical Overview 5
Justice XML1.0/2.0
GJXDM3.0.x
ECF1.x
ECF3.x
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
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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
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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
OASISOASIS
WS-IWS-I W3CW3C
UBLUBL
GJXDMGJXDM
ECF3.x
ECF3.x
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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)
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ECF 3 Technical Overview 9
GJXDMCore
Components
Document Incident Location Metadata Organization Person
Activity Arrest Case Citation Contact Info Court
Property Subject Supervision Vehicle Warrant
GJXDM core components used by ECF 3 messages
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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
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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)
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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
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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
ServiceMDE
ServiceMDE
FilingAssembly
MDE
FilingAssembly
MDE
FilingReview
MDE
FilingReview
MDE
Court Record
MDE
Court Record
MDE
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ECF 3 Technical Overview 14
Service MDE Enables a party to receive service
electronically from other parties in a case (secondary service only)
ServiceMDE
ServiceMDE
FilingAssembly
MDE
FilingAssembly
MDE
FilingReview
MDE
FilingReview
MDE
Court Record
MDE
Court Record
MDE
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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
ServiceMDE
ServiceMDE
FilingAssembly
MDE
FilingAssembly
MDE
FilingReview
MDE
FilingReview
MDE
Court Record
MDE
Court Record
MDE
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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
ServiceMDE
ServiceMDE
FilingAssembly
MDE
FilingAssembly
MDE
FilingReview
MDE
FilingReview
MDE
Court Record
MDE
Court Record
MDE
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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
ServiceMDE
ServiceMDE
FilingAssembly
MDE
FilingAssembly
MDE
FilingReview
MDE
FilingReview
MDE
Court Record
MDE
Court Record
MDE
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ECF 3 Technical Overview 18
Sample Configuration #1Court Hosted
All MDE’s are implemented at the court
CMS
DMS
E-Filing
Court
`
`
`
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ECF 3 Technical Overview 19
Sample Configuration #2Third Party Filing Assembly MDE
`
FilingAssembly
MDE
CMS
DMS
FilingReview& CaseRecordMDE’s
Court
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ECF 3 Technical Overview 20
Sample Configuration #3Multiple Filing Assembly MDE’s
FilingAssembly
MDE
FilingAssembly
MDE
FilingAssembly
MDE
`
`
`
CMS
DMS
FilingReview& CaseRecordMDE’s
Court
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ECF 3 Technical Overview 21
Sample Configuration #4Law Firm as Filing Assembly MDE
FilingAssembly
MDE
FilingAssembly
MDE
`
`
FilingAssembly
MDE
`
Law Firm
CMS
CMS
DMS
FilingReview& CaseRecordMDE’s
Court
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ECF 3 Technical Overview 22
Sample Configuration #5Portal with split Filing Review MDE Functions
`
`
`
CMS DMS
FilingReview& CaseRecordMDE’s
Court A
CMS DMS
FilingReview& CaseRecordMDE’s
Court B
CMS DMS
FilingReview& CaseRecordMDE’s
Court C
`
`
FilingReviewMDE
E-Filing Portal
FilingAssembly
MDE
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ECF 3 Technical Overview 23
Sample Configuration #6Portal with 3rd Party Filing Review MDE’s
`
CMS DMS
FilingReview& CaseRecordMDE’s
Court A
CMS DMS
FilingReview& CaseRecordMDE’s
Court B
CMS DMS
FilingReview& CaseRecordMDE’s
Court C
`
FilingReviewMDE
E-Filing Portal
FilingAssembly
MDE
FilingAssembly
MDE
FilingAssembly
MDE
`
`
FilingAssembly
MDE
Law Firm
CMS
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ECF 3 Technical Overview 24
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
Core MessageCore Message
AttachmentAttachment
AttachmentAttachment
Case-Type-Specific Message
Case-Type-Specific Message
Court-Specific Message
Court-Specific Message
ECF 3.x Message Stream
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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
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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
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ECF 3 Technical Overview 27
Note: Operations shown in bold text are required
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ECF 3 Technical Overview 28
Additional Operations Other query operations
GetFilingList GetFilingStatus GetCaseList GetCase GetDocument
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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
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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
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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) ??
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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
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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
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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
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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
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ECF 3 Technical Overview 36
Questions?
Thanks to the many contributors to the ECF standard!
Getting the standard:http://www.oasis-open.org/committees/tc_home.php?wg_abbrev=legalxml-courtfiling
Contacting the Committee:
Ron Bowmaster, Public Sector [email protected]
John Greacen, Private Sector [email protected]