e-Filing System Requirements by daa16358

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									                                            State Bar of Michigan E’Filing
                                            System Requirements & Architecture
                                            Final Report



                                                            August 2001

                Prepared for:                                               Prepared by:
                 State Bar of Michigan
                Contact: William M. Kramer III
                   Director, Information Services
                   (517) 346-6300 ext. 6359                                 (800) 728-8326


                                                    State Bar of Michigan




Ø State Bar of Michigan (SBM)
    ü As a service to its members and the legal system in Michigan, the SBM desires to
      implement a statewide system to allow attorneys and other authorized users to submit
      court filings with Michigan Courts using the Internet.
    ü To initiate this objective, the SBM established an Electronic Filing Task Force to focus
      on analyzing and planning for electronic filing with the courts. In April, this E’Team
      prepared a document: “E’Filing Task Force—Phase one Outline for Washtenaw
      County Pilot” . This document identified key objectives and requirements for an
      E’Filing pilot with Washtenaw County.
    ü Based upon the work of the E’Team, SBM has contracted RSPNetwork, Inc. to lead
      efforts to drill to the next level of detail. RSPNetwork is to broaden the understanding
      of the requirements, define the system capabilities, identify and evaluate potential
      vendors, and develop a project plan for the pilot implementation. This will position
      about how to proceed in the pilot implementation.
Ø Purpose of this System Requirements & Architecture
    ü RSPNetwork recorded the output it’s research in this System Requirements and
      Architecture (SRA) document. The SRA summarizes the business and user
      requirements, the technical architecture, and the specific product building blocks for
      the system. It is the “blueprint” for building the pilot system.




                                                                                                 1
          Topics

          n   Background
          n   Requirements
                ¨   Purpose of E’Filing service
                ¨   Requirements—Digital Certificates
                ¨   Requirements—E’Filing Service
          n   State-wide deployment considerations
          n   Vendor analysis
          n   Washtenaw county pilot
                ¨   Phased approach
                ¨   Project plan




          State Bar of Michigan   E’Filing System Requirements & Architecture   August 2001 Slide 2




Ø This document identifies the purpose of the E’Filing Service and identifies
  the client, stakeholders, and users
    ü The requirements for the Certification Authority (CA) are then identified.
    ü The document then proceeds to identify the requirements of the E’Filing
      Service.
Ø In selecting a vendor for the pilot, it is important to look forward to a
  potential state -wide deployment. This document identifies four scenarios
  that are should be considered in looking at a potential state-wide
  deployment. This portion can be used to stimulate further discussion about
  how to plan the state -wide deployment of a E’Filing Service.
Ø Based upon the E’Filing requirements and considering the four state-wide
  deployment scenarios, several E’Filing vendors are examined. Each of
  these vendors is examined and a comparison matrix is presented. This
  information will be used as a basis to select the E’Filing vendor.
Ø Since the E’Filing service requires the use of digital certificates, the cost of
  issuing and renewing certificates is presented. The cost of certificates can
  be significant and should be considered in selecting the E’Filing vendor.
Ø The Washtenaw county E’Filing pilot is examined. An initial technical
  demonstration is defined followed by a phased approach that leads to
  increasing capability and integration. The architecture of a “Clerk Utility” is
  defined that would enable the Clerks to maintain tight control of all E’Filing
  submissions.
Ø The last portion presents two preliminary project plans. One for the
  technical demonstration and the second for the initial phase of the                                 2
          Background—Number of Court Cases Filed

              Number of Cases Filed

                       CIRCUIT               DISTRICT/ MUNICIPAL               PROBATE                           TOTAL

                 # Cases       # Court       # Cases       # Court      # Cases          # Court       # Cases       # Court
                   Filed      Locations        Filed      Locations       Filed         Locations        Filed      Locations

                 365,162          84         3,331,005       152         85,457            83         3,781,624          319



                                                                                     This information was compiled by the State
                                                                                     Court Administrative Office. Dan Voss


          n    Nearly 4 million cases were filed in the courts of Michigan during 1999
          n    There are 319 Michigan court locations
          n    There are nearly 700 State Court forms




          State Bar of Michigan        E’Filing System Requirements & Architecture       August 2001 Slide 3




Ø The chart above identifies the number of cases filed with each of the
  Michigan court systems during 1999. As this chart illustrates, there are
  nearly four million new cases filed each year in 319 court locations. Each
  of these cases typically requires numerous court forms to be submitted for
  each case.
Ø All of the court filings are currently paper-based and must be archived for a
  considerable period of time.
Ø The State Court Administrative Office (SCAO) has specified the layout and
  contents of over 700 state-wide court filing forms. To deploy a full E’Filing
  service, each of these forms must be converted to an intelligent electronic
  form that includes data editing / validation, digital signatures, and E’Filing
  routing / workflow.




                                                                                                                                  3
           Purpose—E’Filing Service
                                                                                                   Payment Processing

      Court Filing Submitters
                                                                              Fee collection



                                                           E’Filing
                                                            E’Filing
                                       Internet                                                       Michigan Courts
                                                           Service
                                                            Service
            Attorneys              • Generate E’Filing
             Kiosks                • Submit filing
         Authorized users          • Payment
                                                                            E’Filing submission

                                                                                                             Judges
                                                                                                             Clerks
                                                                                                            Court staff
           n    Objective
                 ¨    Provide secure electronic filing services model for the Michigan courts
           n    Benefits
                 ¨    Efficiency gains from automating processes – lower costs, fewer errors, faster processing
                 ¨    Eliminate paper from business processes
                 ¨    Increase the publics’ access to justice
                 ¨    Increase customer/public satisfaction
                 ¨    Reduce storage space

           State Bar of Michigan          E’Filing System Requirements & Architecture      August 2001 Slide 4




Ø Objective
   ü As a service to its members and to the legal system in Michigan, the
     SBM desires to implement a statewide system to allow attorneys and
     authorized user to submit court filings with Michigan Courts using the
     Internet.
        • Users would electronically generate court filings that would be
          forwarded to the appropriate court
        • Court filing fees would be electronically captured and forwarded to
          the appropriate court
        • The E’Filing Service would enable electronic fee collection that
          would be routed to the appropriate court
Ø Benefits
   ü Efficiency gains from automating processes – lower costs, fewer errors,
     faster processing
   ü Eliminate paper from business processes
   ü Increase the public access to justice
   ü Increase customer/public satisfaction




                                                                                                                          4
              Scope of E’Filing Service
                                      Certification Authority
                                       Certification Authority
                                                                                                       Payment Processing

                                                  E’Filing Service
                                                                                      Filing Fees
                                                        E’Forms
                                                       Submission                                                Michigan Courts
                      Digital                          Application
                     Signature
                    Enrollment                             Web Site               Digitally signed E'Filing




                                                Internet
                                                Internet

                          • Certificate                        •   Generate forms
                            issuance                           •   Attach additional files
                                                               •   Sign & submit E’Filing
                                                               •   Submit payment



                                                                             • Acknowledgement



                                                   E’Filing Submitters
              State Bar of Michigan         E’Filing System Requirements & Architecture              August 2001 Slide 7




Ø The scope of the E’Filing service includes:
     ü Certification Authority
          •    Provide an Internet enabled Certification Authority whereby authorized users can
               be obtain a trusted digital certificate.
          •    Proved full life-cycle support of digital certificates including issuance, renewal,
               revocation, and status checking.
Ø Web Site—Provide a web site whereby authorized users can:
          •    Select the form they wish to generate
          •    Interactively generate the form with online data editing
          •    Attach other files, as necessary
          •    Digitally sign the form and attachments
          •    Encrypt and transmit the form and attachments
          •    Provide payment information
Ø E’Filing Service transmits E’Filing to court
     ü Transmit the form and attachments to the court
     ü E’Filing contained in a standard XML / LXML data format
Ø Transmit payment information to payment processing provider
     ü Payment routed to court
Ø Court response to E’Filing Submitter
     ü For new cases, send assigned case number to submitter
     ü For existing cases, send acknowledgement to submitter




                                                                                                                                   7
                E’Filing Vision
                                    SBM Certificate Authority
                                     SBM Certificate Authority
                                                                                   Michigan Courts
                                         State Entity Service
              State Court                                                                    Court
             Administrative           Digital                                                Clerk
             Office (SCAO)          Signature                                                              Print
                                                                                                           Print
                                                        E’Filing
                                    Enrollment                                                            E’Filing
                                                                                                          E’Filing
                                                        Forms
                                                                                                                                    Case Mgmt System
                                                                                                                                    (e.g. Fulcrum /NACT)
                                                       E’Filing
                                                        E’Filing
                  Court
                  Court                              Generation &
                                                     Generation &
                  Forms
                  Forms                               Submission
                                                      Submission                     Court Clerk
                                                                                       E’Filing                                         Court Staff
           • SCAO court                      Web Server
                                             Web Server                             One-Click Utility                                    Directory
             forms
             specification
           • SCAO                                                                                     E’Filing Repository (e.g. FileNet)
             guidelines for                      •   Generate E’Filing
             electronic filings                  •   Digitally sign                                        • Store entire signed E’Filing
                                                 •   Fee payment                                           • Manage versions E’Filing
                                                 •   Submit                               E’Filings
                                                                                          E’Filings
                                                                                                           • Search E’Filings

                                                 Internet                                                       E’Filing routing
                                                                                                                E’Filing routing
                                                  Internet                                                        work flow
                                                                                                                   work flow
                                                                                                                                       • Search & retrieve
                                                                   • Acknowledge                        • Process E’Filing (add
                                                                   • Assigned                             data, attachments,
                                                                     Case number                          signatures to E’Filing)




                                             E’Filing Submitter                      E’Filing Processors                                E’Filing Viewers


                 State Bar of Michigan        E’Filing System Requirements & Architecture                 August 2001 Slide 16




The diagram above illustrates a vision for E’Filing within the Michigan courts.
Ø State Court Administrative Office (SCAO)
      ü The State Bar of Michigan is working closely with the SCAO on this E’Filing Service. The SCAO has
         defined a set of court forms that can be used state-wide by all courts. The SCAO defines the structure and
         layout of these forms. Based upon the SCAO forms specifications , the SBM will develop templates that
         can be used within the E’Filing Service.
      ü The SCAO will define a set of guidelines for the acceptance and processing of digital documents. These
         guidelines will be used by courts to establish local court electronic filing guidelines.
Ø State Bar of Michigan
      ü SBM Certification Authority
            • SBM CA issues and manages digital certificates for users who wis h to submit and process E’Filings.
               Any user that can digitally sign an E’Filing will need a digital certificate.
Ø State Entity
      ü E’Filing Service
            • Provides interactive web site whereby a Submitter can select, complete, digitally sign, pay for, and
               transmit an E’Filing.
            • Logs the submission and routes the E’Filing to the appropriate court.
            • Forwards payment information for third party payment processing for subsequent payment to the
               court.
Ø Michigan Court
      ü Court Clerk E’Filing Submission One-Click Utility
            • An easy-to-use utility will enable the Clerk to examine each electronically submitted E’Filing. The
               Utility can be configured to automatically print every E’Filing received. The Clerk can accept or reject
               an E’Filing.
                   - If rejected, the Utility automatically sends an e’mail to the Submitter notifying them of the
                       rejection and the reason for the rejection.
                   - If accepted, the Clerk can digitally sign the E’Filing thereby locking-in the exact time that is was
                       received. The Clerk then can instruct the Utility to add the E’Filing to the CMS and add the
                       E’Filing to the E'Filing repository. If this is a new case, the Utility interacts with the CMS to
                       obtain the case number assigned. The Utility will automatically generate an e’mail to the
                       Submitter notifying them of the acceptance of the E’Filing.
      ü CMS Integration
            • Based upon the action by the Clerk, the E’Filing can be automatically entered into the CMS system.
      ü E'Filing repository Integration
            • Based upon the action by the Clerk, the E’Filing can be automatically entered into the E'Filing
               repository system. The E'Filing repository system can store the entire signed E’Filing.
            • As the E’Filings are processed, new data, attachments, and signatures may be added to the
               E’Filing. The E'Filing repository system performs version management, so that users can always
               retrieve the most current version of the E’Filing.
            • Depending upon the E’Filing, there may be a need to route the E’Filing to one or more persons for
                                                                                                                                                             16
               review, approval, etc. This E’Filing Routing Control may be part of the E'Filing repository or it may

								
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