Sample County Plan to Implement Electronic Filing or Electronic Service Pilot Project

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1 Sample County Plan to Implement Electronic Filing or Electronic Service Pilot Project Pursuant to Administrative Rule 16(B), the following provisions relate to the necessary elements required in this written request for approval of Sample County s electronic filing or electronic service pilot project. The Division of State Court Administration may modify these provisions at any time. 1. Definitions (a) Filing User refers to court staff, self-represented litigants, attorneys, or the agent an attorney has expressly designated to make a filing on his or her behalf, who have an electronic case filing log-in, password, and authority to file documents electronically. (b) Registered User refers to an individual or entity with an assigned log-in and password without authority to use the ECF for filing and service of documents electronically. (c) Electronic Case Filing System (ECF) refers to the court s system that receives in electronic form documents or information via the Internet, a court-authorized remote service provider, or through other remote means to and from the trial court s case management system. (d) Notice of Electronic Filing refers to the notice that is automatically generated by the Electronic Case Filing System at the time a document is filed with the system, setting forth the time of filing, the name of the party and attorney filing the document, the type of document, the text of the docket entry, and the name of the attorney(s) receiving the notice. (e) Archival Retention refers to permanent records retention pursuant to Administrative Rule 7. (f) Registration refers to submission of a User Registration Form and the execution of the User Agreement. 2. Elements This proposed plan submitted pursuant to Administrative Rule 16(B) contains the following elements: A. System Compatibility The plan will be built onto the base of Sample County s existing case management computer system, which is already used by attorneys and internal employees in Sample County, including the Clerk s office, the courts, and various law enforcement employees. The system to be implemented in Sample County will use and enhance many features of the system already in place, including user registration and security, the security of court records, case information maintenance and presentation, order entry by judges, e-commerce billing and support, alert processing and notification, and infrastructure and architecture.

2 B. User Hardware and Software Requirements The Sample County system will be web-based, and users will require a computer with web access capabilities, including a web browser, a modem, and a subscription to an Internet Service Provider. It is recommended that users use broadband access via either Cable or DSL connection, although this feature will not be mandatory and dial-up access will be supported. In addition, users of the system will also need a scanner and printer and word processing software. The user may also require software to convert documents to PDF format prior to submission. The system will also include public access terminals in the Sample County s Clerk s office or other locations, which will provide all required hardware and software for filing by selfrepresented litigants or others who may require temporary use of the terminals to review and file case documents. Procedures will be created by the Sample County s Clerk s office to provide adequate access to the electronic filing system on the public access terminal. C. System Users For the purposes of accessing the ECF over the Internet, the following are authorized to register as users of the Sample County system: (a) licensed attorneys and their staffs, including paralegals and secretaries; (b) pro hac vice attorneys; (c) judges and their staffs; (d) court administrative staff, including technical support staff; (e) self-represented litigants; and (f) other public users, including media representatives. All users of the e-filing system shall execute a user agreement with the Circuit and Superior Courts of Sample County pursuant to Administrative Rule 16(C). Persons who are authorized users and who desire to e-file, e-serve or review case documents shall register with the system. Upon receipt by the ECF of a properly executed user agreement, the ECF shall assign to the user a confidential login and password to the system. No user shall knowingly authorize or permit his or her password to be used by anyone else. Users of the system shall notify the ECF promptly of any change in firm name, delivery address, fax number or address. Filing users will be invited to participate in an ECF training program, which will be periodically conducted by Sample County. D. Eligible Cases Sample County proposes the following case implementation schedule: The official record of the court for all documents filed on or after the start date of the system is the electronic record maintained by the Clerk in case types ABC and XYZ in the Sample County Circuit and Superior Courts. The Clerk shall establish an electronic Record of Judgments and Orders as provided by Trial Rule 77(D). The estimated start date for the Sample County system shall be (insert date). All documents submitted in a hard copy format by any person on or after the start date, including documents submitted by persons proceeding in forma pauperis, must be imaged into an

3 electronic format. Once imaged, with the exception of documents ordered sealed by the court, all such documents shall be returned to the filer in accordance with the procedure authorized by the Clerk s office. For all other case types than ABC and XYZ, documents shall be filed, served, and stored conventionally. The Sample County courts and Clerk may in the future direct that additional case types shall be subject to the procedures for electronic filing, if approved by the Division of State Court Administration. Notice of this approval will be posted in the Clerk s office, on the Indiana Judicial Website, and on the ECF at least thirty (30) days before the new electronic filing effective date. E. Fees 1. Filing User The clerk shall collect all filing and electronic system fees due at the time of the commencement of a case or appearance in a case. Persons who have been determined by court order to be indigent in a case shall not be required to pay fees for electronic filing or service in that case. 2. Registered User The Clerk shall collect electronic system fees due from registered users at the time of registration. Conventional copies and certified copies of documents may be purchased at the offices of the clerk during regular business hours and upon payment of the customary copying fees prescribed by law. 3. Schedule and Accounting The fees so collected shall be maintained and accounted for pursuant to Sample County ordinance and all existing procedures as approved by the Indiana State Board of Accounts. A schedule of fees and charges is attached. F. Document Preservation All case documents and files within the ECF will be available on the Internet as required until two years after the possibility of an appeal has been reached. At that point, the documents and files will be archived and retained in this archived state as required by statute and Administrative Rules 6 and 7. These archived files and documents will be available for recovery as requested through online screens. In addition, all electronic documents and files, including active and archived files, will be backed up on electronic media on a nightly basis, with these nightly files retained onsite for a period of two weeks, and another copy retained offsite for a period of two months. Another back-up of all electronic documents and files will be performed on a weekly basis, with these weekly files being retained in secure offsite storage for a period of two months.

4 Each back-up of the electronic documents and files will be a complete point in time back-up containing all active and archived documents and files within the ECF. The back-up copies of electronic documents and files can be used for a system recovery in the event of a disaster and for recovery of historical documents. These procedures will be reviewed annually to insure compliance with current statutes and Administrative Rules. G. Local Rules Local Rules that are being adopted to implement the ECF are attached. H. Forms The forms that the court has developed to aid in the implementation of the ECF are attached, including an user registration form, a notice of manual filing, a certificate of service, a notice of signature endorsement, a declaration that party was unable to file in a timely manner due to technical difficulties, and a notice of manual filing of sealed/confidential document. I. Security Security for the ECF has been designed to keep court records safe, individual transaction records secure, and the actual court records database from web exposure. All servers are protected by devices such as firewalls, secure switches, and NAT load balancers. In addition, each server has a redundant network connection to ensure its availability. The number of devices protecting a server depends on its network function. Access to the production network is limited to the operations staff and secured by a VPN device. Additional network security is provided by an Intrusion Detection System (IDS). The IDS monitors all network activity and alerts the operations staff to network traffic that could be unauthorized. Further, additional server security is provided by weekly vulnerability assessment scans. These VA scans are run against all Internet facing servers to verify that there are no known security vulnerabilities present. In the event that a problem is identified, the operations staff is alerted immediately so that the vulnerability can be corrected. Finally, all traffic entering and exiting a server is scanned real-time for viruses, worms, and other potentially harmful files. All servers are updated on a daily basis with the latest anti-virus signatures. In the event that a harmful file is found, the operations staff is alerted immediately so that proper action can be taken. J. Proof of Service A party may not electronically serve a summons or other process and complaint or equivalent pleading; instead, he must perfect service according to Trial Rules a. Service by Sheriff. The copies of the complaint or equivalent pleading and summons or other process, or any other documents such as an order to appear, necessary for service by sheriff shall be printed by the office of the clerk. The copies of the complaint and summons, or other documents, shall be forwarded to the sheriff for service and return. The return of

5 service shall be scanned into electronic image by the clerk for entry into the case management system and the paper original may then be discarded. b. Service by Certified Mail. The clerk will electronically issue a summons or other process for service by certified mail, and the summons or other process will be printed and served by certified mail by the party or attorney causing the documents to issue. Upon receipt of the acknowledgement of receipt of service, the filer shall scan and file the return receipt into the ECF and retain the original receipt. The return of service shall also be entered into the case management system electronically. c. Service of Other Documents. The ECF will generate a Notice of Electronic Filing and Service when any document is filed and served. This notice will be ed to each filing user of record in a case, and an electronic service event will be added to the work queue of each filing user of record in the case. The party filing the document should retain a paper or electronic copy of the Notice of Electronic Filing and Service. This notice represents proof of filing and service of the document on filing users of record in that case. The filer shall not be required to conventionally serve any document on any party receiving electronic service. The filer shall conventionally serve those parties not designated or able to receive electronic notice or service but who are nevertheless entitled to notice of said pleading or other document in accordance with the Indiana Rules of Civil Procedure and applicable Local Rules. K. Legal XML Compliance Describe how the system will comply with the Legal XML E-Filing Standard. Compliance with this standard will help ensure compatibility with the future statewide CMS. L. Proposed User Agreement, Forms, Other Documents The proposed User Agreement required by Administrative Rule 16(C) is attached. M. Proposed Implementation Plan and Schedule The proposed start date for implementation is (insert date). Included in the schedule will be training of court staff and members of the bar. Procedures and training will be defined for all users of the system, which includes each person s responsibilities to comply with standards and quality control. The Sample County Clerk s office will be responsible for the review and acceptance of all filed documents. Procedures and training will cover the following topics: 1. Hardware, including authorized vendors, models, and specifications; 2. Software, including recommended vendors, programs, versions, and requirements;

6 3. Procedures and process flows for each type of document to be filed; and, 4. Policies and responsibilities for compliance and quality standards. Procedures and training will also be provided for Sample County Data Processing. They include: 1. Quality Control of storage medium; 2. Conversion of digital records to the most current software upgrades; 3. Auditing procedures; 4. Security of data from natural and man-made disasters; and, 5. Conversion on a regular basis of records deemed permanent under Administrative Rule 7 to microfilm. N. Accessibility by Self-Represented Litigants A conventionally filed document is one presented to the clerk or to a party in paper or other non-electronic format. The following documents filed by self-represented litigants may be filed conventionally and not electronically: 1. Documents Delivered to the Clerk by Pro Se Litigants. Documents filed by pro se litigants who have not elected to become filing users may be presented to the clerk s office for filing. Such documents shall then be converted to an image document by the clerk. The clerk shall thereupon electronically file and serve such documents upon each filing user of record in that case. The filer shall also conventionally serve these documents upon opposing attorneys or parties who are not filing users in accordance with the Indiana Rules of Civil Procedure and applicable Local Rule(s). After completion of scanning and filing, the original paper documents shall remain in the custody of the pro se litigant. If the original documents cannot be scanned into a legible electronic document, then a notation of that fact shall be placed onto the CCS. The filer shall also conventionally serve these documents in accordance with the Indiana Rules of Civil Procedure and applicable Local Rule(s). 2. Documents Mailed to the Clerk by Pro Se Litigants. Documents received by the clerk in the mail from pro se litigants who have not elected to become filing users shall be scanned and electronically filed. The clerk shall thereupon serve such documents upon each filing user of record in that case. The filer shall also conventionally serve these documents in accordance with the Indiana Rules of Civil Procedure and applicable Local Rule(s). After scanning, the originals shall be returned to the filer, if a return envelope is provided.

7 If the original documents cannot be scanned into a legible electronic document, then a notation of that fact shall be placed onto the CCS and the pro se litigant notified by the clerk. The filer shall also conventionally serve these documents in accordance with the Indiana Rules of Civil Procedure and applicable Local Rule(s). O. Performance Measurements The system performance will be monitored in several areas, both in the pilot operation as well as during the ongoing operation. These areas will include functional performance, transactional response performance, and reliability and availability. A. Functional Performance-Pilot Functional performance will be initially evaluated during the pilot period by the attorneys, judges, clerks, and other personnel selected to participate in the pilot implementation of the ECF. These pilot personnel will be trained in advance of the pilot, and they will have procedures for each required function by user. Pilot users will evaluate the system performance to determine if it operates according to procedures. Issues will be documented and tracked for resolution. Full implementation will occur only when the pilot user group determines that the system is operating according to specifications. B. Functional Performance-Full Implementation Following full implementation of the e-filing system, the functional performance will be monitored by assessment of the feedback submitted through the web-site, and by issues, questions and comments received by the customer support staff. The web-site will include a customer support page which will allow submission of questions or issues the user might be experiencing with the site to Sample County Data Processing Staff. Phone support will also be provided during normal business hours for addressing user s questions or issues. All system problems or issues will be documented and tracked on an issues log. The issues will be addressed based upon their priority. C. Transactional Response Performance Transactional response performance will be monitored and measured on a regular basis. Transactions will be evaluated against a response target and any response time issues will be evaluated and addressed as required. Many of the tools for measuring transaction throughput and response are already in place for Sample County s case management system, and these same tools will be used for monitoring the ECF.

8 D. Reliability and Availability Reliability and availability will be tracked by measuring the downtime as a percentage of the possible available service hours. The measurements will be broken down by overall availability, with a separate measurement for availability during normal business hours. Targeted availability goals will be established in advance by the user group and reported on each month. 3. Content/Substantive Requirements In addition to the elements outline above, this proposed Plan includes the following content: A. Eligible Users Attorneys admitted to practice before the Supreme Court of Indiana, including those admitted pro hac vice, may register as filing users of the ECF. (A self-represented litigant may elect to register as a filing user for the limited purpose of using the electronic filing and service features for his or her case). The attorney will provide his or her name, address, telephone number, Internet address, and a declaration that he or she is admitted to the bar. Users must notify the Clerk of the court promptly in writing of any change of address, electronic or otherwise. Filing users must update any change of details on the ECF. B. Registration Obligations The User Agreement identifies the privileges and responsibilities of users of the ECF, including their agreement to protect the security of their passwords and immediately notify the clerk if they learn that their password has been compromised. As provided in the Agreement, the Filing User consents to service of all filings by electronic means and waives conventional service, with the exception of service of summons and related documents pursuant to Trial Rules C. Public Accessibility Public remote access to documents filed though the ECF shall be available to registered users through public access via the Internet provided by the ECF. Individuals shall also have access at terminals located in each of the offices of the clerk, during regular business hours. Conventional copies and certified copies of documents may be purchased at the offices of the clerk during regular business hours and upon payment of the customary copying fees prescribed by the clerk.

9 D. General Format Requirements 1. General Format. Electronically filed documents must meet the same requirements of format as documents conventionally filed and pursuant to the Sample County Rules of Civil Procedure and the Indiana Trial Rules. Electronically filed documents may contain hyperlink references to an external document as a convenient mechanism for accessing material cited in the document. Attorneys wishing to insert hyperlinks into documents shall continue to use the traditional method of citation to authority in addition to the hyperlink provided. The hyperlink is merely a convenience to the court and the material referenced is extraneous to the file and not a part of the court s record. 2. Combination of Documents. All documents which form a part of a single submission and which are being filed at the same time and by the same party may be electronically filed together under one document filing, e.g., the motion, supporting affidavits, memorandum in support, designation of evidence, and exhibits. In order to file a document that requires leave of court, the proposed document shall be attached as an exhibit to a motion. Form orders submitted for the court s convenience shall be submitted as exhibits to motions. 3. Large Documents. Large documents that do not exist in an electronic format shall be scanned in PDF format and filed electronically as separate attachments. Public access terminals will be available in each clerk s office for use by the public and the bar in scanning and saving image files if needed. 4. Documents Not Capable of Being Scanned. Exhibits and other documents that cannot be converted to a legible electronic form, such as videotapes, x-rays, and similar materials, may be filed manually. The filing party shall electronically file a Notice of Manual Filing as a notation to be placed on the CCS that a filing has been made and is being held in the clerk s office. The filing party shall serve the documents conventionally, if required. E. Initial Pleadings Service of initial pleadings is described in Section II, J above. F. Appearance Electronic filing of a Notice of Appearance shall act to establish the filing attorney as an attorney of record representing a designated a party in a particular case. By filing the appearance, the party officially waives conventional service of documents filed after the initial pleadings and authorizes the electronic service of documents.

10 G. Format of Attachments and Exhibits Filing Users must submit in electronic form all documents referenced as exhibits or attachments, except as specifically permitted by court rule or order. Exceptions to the electronic filing requirement include the following documents: (a) exhibits in a format that does not readily permit electronic filing, such as videotapes, x-rays, and similar materials; (b) paper documents that are illegible when scanned into PDF format; and (c) documents filed under seal or information not for public access as defined in Administrative Rule 9(G)(1). Such components shall not be filed electronically; instead, they shall be manually filed on paper with the clerk, and served upon the parties in accordance with the applicable Indiana Rules of Court and local rules for filing and service of non-electronic documents. Parties making a manual filing of a component must file electronically a Notice of Manual Filing. H. Certificate of Service A Certificate of Service, if required by the Rules of Trial Procedure, must be included with all documents and information filed electronically. If a document is served conventionally upon a party not designated as a filing user or a party who has chosen to opt out of the electronic filing system, the filing party will file a Certificate of Service, stating the document served, date and location served, and the manner of service. All documents served electronically shall indicate the same in the Certificate of Service at the end of the document pursuant to Trial Rule 5(C). I. Electronic Copies and Electronic File-Stamps When a document is filed electronically, the system will generate a Notice of Electronic Filing and Service. This Notice shall serve as the court s date stamp and proof of filing. Once documents have been reviewed by the clerk and accepted, this date and time stamp will be applied automatically to the documents. When documents are viewed and/or printed from the ECF, the date and time stamp will appear on the documents. J. Password Serves as Signature The login and password shall serve, in part, as the Filing User s signature on all electronic documents filed with the court. They also serve as a signature for purposes of the Trial Rules, the Local Rules of the court, and any other purpose for which a signature is required in connection with the proceedings before the court.

11 K. Signatures Other Than Filing User Documents requiring original signatures or more than one signature, and require verification or an unsworn declaration under any rule or statute, shall be filed electronically, with the originally executed copies maintained by the filer. The document electronically filed shall contain a signature, with the electronic signature indicated (e.g., /s/ Jane Doe). The filer shall initially confirm that the content of the document is acceptable to all persons required to sign it and shall obtain the physical signatures of all persons necessary to it. He may electronically scan and file the document with all required signatures, and shall thereafter retain the paper copy of the document containing the original signatures. L. Filing Consequences The electronic filing of a document by a filing user, consistent with the relevant rules and Trial Court Rules, constitutes filing of the document for all purposes of the rules of court and constitutes entry of the document on the court s docket. The official court record is the electronic recording of the document as stored by the court, and the filing party is bound by the document as filed. Filing electronically does not alter any filing deadlines or any time computation pursuant to the Indiana Trial Rules or the Sample County Rules of Civil Procedure. Filing must be completed as prescribed in the Sample County Local Rules for electronic filing in order to be considered filed that day. When a document or information is filed electronically, the court s system will generate a Notice of Electronic Filing, which will be transmitted via to the filer and all attorneys of record in the matter who are Filing Users. The party submitting the filing should retain a paper or electronic copy of the Notice. Transmission of the Notice to an attorney s registered address constitutes service upon the attorney. Only the Notice, generated and transmitted by the court s system, is sufficient to constitute electronic service of an electronically filed document. Those parties or attorneys who have been permitted by the court to be exempt from the electronic filing requirement will be provided notice of the filing in paper form in accordance with the Indiana Rules of Court. M. Sealed Documents Documents governed by an order for the sealing of records shall be conventionally filed under seal and designated by the filer as Not for Public Access Pursuant to Administrative Rule 9(G)(1). Only the judge, the clerk, and attorneys or parties in a particular case may view the sealed documents in the case. The judge may permit additional persons to view the sealed documents in a case pursuant to Administrative Rule 9(I). Such sealed documents or information shall be served upon the parties in accordance with the applicable Indiana Rules of Court and local rules for filing and service of conventional documents. The party filing a sealed document also must electronically file a Notice of Manual Filing of Sealed/Confidential Document. No document will be maintained under seal in the absence of an authorizing statute, court rule, or court order.

12 N. Court Orders Orders of the court will be electronically filed and notice sent to the filing users of the ECF. Electronic transmission of a Notice of Electronic Filing that is generated by the Clerk constitutes the notice required by Indiana Rules of Trial Procedure 77(D). In the event that the case involves a non-filing user, the court will serve the order conventionally as well. O. Technical Difficulties Parties are encouraged to file documents and information electronically during normal business hours, in case a problem is encountered. In the event a technical failure occurs, and despite the best efforts of the filing party a document or information cannot be filed electronically, the party should print (if possible) a copy of the error message received. In addition, as soon as practically possible, the party should file a Declaration that Party was Unable to File in a Timely Manner Due to Technical Difficulties (Form 4). If a party is unable to file electronically and, as a result, may miss a filing deadline, the party must contact the designated Electronic Filing System Administrator. If a party misses a filing deadline due to an inability to file electronically, the party may submit the untimely-filed document, accompanied by a declaration stating the reason(s) for missing the deadline. The document and declaration must be filed no later than 12:00 noon of the first day on which the court is open for business following the original filing deadline. Although the electronic filing system will generally be available for filing 24 hours a day, standard maintenance procedures will be required and the system will be offline for short periods of time during routine system maintenance. These offline periods will be scheduled in advance and notice will be posted on the ECF. The offline periods will usually occur at night or on weekends. If a statutory or court rule deadline will expire prior to filing and service of a document, the party should forgo electronic filing and instead file and serve conventionally. Difficulties with service of documents via electronic filing do not exempt the filer from court or statutory deadlines. P. Retention of Documents in Cases Filed Electronically Filing Users must retain signed copies of electronically filed documents for two (2) years after all time periods for appeal expire. Documents that are electronically filed and require original signatures other than that of the Filing User must be maintained in paper form. On request of the court, the Filing User must provide original documents for review. Originals of documents filed electronically which require scanning must be retained by the filing party and made available, upon request, to the court and other parties for a period of two years following the expiration of all time periods for appeals.

13 Q. Entry of Court Orders All orders, decrees, judgments, and proceedings of the court that are filed electronically will constitute entry on the court s docket. A hardcopy version of all judgments shall be entered in the court s Record of Judgments and Orders, pursuant to Trial Rule 77(D). All orders shall be filed electronically. Immediately upon the entry of an order or judgment in an action assigned to the ECF, a notice of electronic filing will be transmitted to filing users in the case, in electronic form. Electronic transmission of the notice of electronic filing constitutes the notice required by Indiana Rule of Trial Procedure 72(D). Any order entered electronically without the original signature of a judicial officer has the same force and effect as if the judicial officer had affixed his signature to a paper copy of the order and it had been entered on the docket in a conventional manner. The judicial officer may grant routine orders by way of a text entry upon the CCS. In such a case, no further document will issue and the CCS entry shall indicate that the court will issue no further written order. The CCS order shall carry the same weight and authority as a written order signed by the judicial officer. If a party is not represented by at least one attorney who is a filing user, the court must give notice in paper form in accordance with the Indiana Rules of Court.