User Authentication for E-Filing in King County, Washington

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Everett McKenzie
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1 Authentication for E-Filing in King County, Washington Request Asks Administrative Office of the Courts for ID, PIN, and ID Assignment AOC assigns with unique ID, PIN, and E-Filing Access provides ID, PIN, and and is cleared for E-Filing in King County CK:RW:pc 10/17/03

2 E-Files in King County Logon logs on to court E- Filing Web site with AOCsupplied ID, PIN, and Data Entry supplies information responding to prompts or completing table Upload locates and uploads into the the to be filed Validation ID verified based on correct PIN and XML Envelope Standard Legal XML based envelope created with metadata Fee Payment If fee is required, payment transaction is completed Filing completes filing through Web site; Envelope transmitted Intake Checks for problems, validates against XML, assigns unique ID, admits to DMS Acknowledgement displays information on completed transaction, including payments and effective date/time of filing Record to DMS recorded, duplicated in DMS, sealed if needed Clerk Review queued for review, data passed from Envelope to DMS CK:RW:pc 10/17/03

3 E-Files Case Initiation in King County Logon logs on to court E- Filing Web site with AOCsupplied ID, PIN, and Data Entry supplies information responding to prompts or completing table Upload locates and uploads into the the to be filed Validation ID verified based on correct PIN and XML Envelope Standard Legal XML based envelope created with metadata Fee Payment Filing fee requires payment transaction to be completed Filing completes filing through Web site; Envelope transmitted Intake Checks for problems, validates against XML, assigns unique ID, admits to DMS Acknowledgement displays information including payments, case number, and effective date/ time of filing Case Schedule Issued generates case schedule, so case initiating party can initiate service on other parties in case Record to DMS recorded, duplicated in DMS, sealed if needed Case Data Number, judge, schedule assigned to case Clerk Review s queued for review, data passed from Envelope to DMS CK:RW:pc 10/17/03

4 Clerk Review and Entry into CMS/DMS Clerk Review Clerk reviews and data in DMS, making permitted corrections to DMS is committed by system to the DMS Data to DMS Clerk processes from workflow, validating or adding data into the DMS Workflow After check of metadata, clerk sends to correct workflow ECR Viewer, once in DMS, is available for viewing in electronic court record Docketing to CMS EFM copies docket data from DMS for recording in AOC s JIS (CMS) Security Backup creates backup copy of processed court and metadata Audit Log records audit log made throughout the transaction CK:RW:pc 10/17/03

5 Request in King County Request requests from King County via Clerk s Web Site Authorization checks whether user is authorized to view requested Returned returns copy of to authorized user via Clerk s Web site CK:RW:pc 10/17/03

6 1. Obtains ID, PIN Number, and for E-Filing in King County Step Step Name Step Description Data Exchanged 1 Request E- Filer Status accesses State Administrative Office of the Courts (AOC) or other authorized Web site to obtain E-filing ID, PIN, and Name address, phone, , Washington State Bar Number (if attorney) Formal request for AOC-issued ID, etc., indicating understands rules and responsibilities for filings made when is logged on to an E-Filing system Other necessary information AOC E-Filing Second ary (s) AOC (s) Authorized system General Rule (GR) 30 s requirement of state-issued ID, PIN, and password must be met AOC Web Services 2 Assignment of ID, PIN, and 3 May E- File in King County assigns a unique ID, PIN, and which must enter when E-Filing logs on to King County or Other ID PIN # Instructions for electronic filing using assigned ID, etc. ID, PIN, AOC E-Filing KC or Other KC Establishes indicator of filer s intent to sign electronically filed (s) Verification of identity of electronic filer AOC Web Services

7 2. Files Electronically Using King County s Web Based E-Filing Step Step Name Step Description Data Exchanged 1 Logon logs on to court e- filing Web site 2 Validate 3 Data Entry validates by checking ID, PIN, and password provides required information, responding to Wizard prompts or completing a provided table ID PIN # ID PIN Court ID Court Location Case ID (Case Number) Case Name ID (may be a SCOMIS Code) Title Clerk s Action Required Today s Date KC OR Other KC OR Other KC OR Other (s) (s) AOC E-Filing AOC E-Filing Identify user Validate user Create information (metadata) about the court, case, and involved with this electronic filing Complete the XML Envelope for the electronic filing process as specified in AOC Web Services AOC Web Services Legal XML Electronic Court Filing, version 1.1, modified by conversion into a Schema (CF 1.1) 4 Uploads navigates to on s system and selects for uploading to the Clerk s E-Filing system Filename (including format) size (pages, memory) KC OR Other Transfer electronic (BLOB) to EFS application JXDD, v 3.0

8 2. Files Electronically Using King County s Web Based E-Filing Step Step Name Step Description Data Exchanged 5 Submits Filing 5A Fee Payment 6 E-Filing Checked for Problems 7 Validation 8 Admits 9 Record (who should verify information provided) submits filing by selecting appropriate option on Web page If fee is required, payment information (e.g., credit card holder, amount, number, expiration date) checks for problems (e.g., integrity, virus, format). validates against prescribed XML receives (admits) and assigns it a unique identifier records to appropriate storage media within DMS The completed electronic envelope containing details about BLOB Date/time of submittal for filing Payment Information Complete content of e-filed Data necessary for validation ID (from system, not same as Case Number) format ID (from system) KC OR Other KC OR Other KC OR Other KC OR Other KC OR Other (s) (s) King County s E-Commerce and EFM DMS Verified receipt of payment for any service prior to its being provided to the person Prevent filing that may undermine system integrity Ensure is validated per the Assign unique identifier to each DMS Ensure is trackable and retrievable King County E-Commerce Schema JXDD, v. 3.0

9 2. Files Electronically Using King County s Web Based E-Filing Step Step Name Step Description Data Exchanged 10 Backup of 11 Automatic Sealing 12 Conformed Copy Receipt creates duplicate images (files) for each received for filing automatically seals s that are in a sealed case type or for which filer has indicated an Order Sealing exists or will be requested (for which sealing is provisional) displays information summarizing the completed Electronic Filing, including date/time of filing, effective date/time of filing, and payment information (s) (s) DMS Secure received s against interference of any kind ID Sealing Indicator Case Sealing Level Case and information Filing information: date/time of filing (plus effective date/time of filing if after hours); ID; Case #; etc. DMS KC or other, EFM EFM (prints or saves displayed information) KC or other Verification for that electronic filing has been admitted into the CMS and DMS for processing 13 Data Sent to DMS and queued for Clerk Review passes data about from envelope to DMS and queues for clerk review Case # Case Title ID Title Other data as required EFM DMS

10 3. Initiates New Case Electronically Using King County s Web Based E-Filing NOTE: Steps different from e-filing a in an existing case are indicated in Italics. Step Step Name Step Description Data Exchanged 1 Logon logs on to court e-filing Web site 2 Validate 3 Data Entry validates by checking ID, PIN, and password provides required information, responding to Wizard prompts or completing a provided table ID PIN # ID PIN Court ID Court Location Case ID (Case Number) Case Name ID (may be a SCOMIS Code) Title Clerk s Action Required Today s Date Litigant Names, Addresses, other required information. Case Information, e.g., Cause Code (to determine type of case and schedule to be used. KC KC KC (s) (s) AOC E-Filing AOC E-Filing Identify user Validate user Create information (metadata) about the court, case, and involved with this electronic filing Complete the XML Envelope for the electronic filing process as specified in AOC Web Services AOC Web Services Legal XML Electronic Court Filing, version 1.1, modified by conversion into a Schema (CF 1.1) Attorney names (with attorney Bar ID

11 3. Initiates New Case Electronically Using King County s Web Based E-Filing NOTE: Steps different from e-filing a in an existing case are indicated in Italics. Step Step Name Step Description Data Exchanged 4 Uploads (s) 5 Submits Filing 5A Filing Fee Payment navigates to (s) on s system and selects for uploading to the Clerk s E- Filing system (Note: Most litigation requires filing of more than one at initiation.) (who should verify information provided) submits filing(s) by selecting appropriate option on Web page presents payment of the filing fee (i.e., the case initiation fee) at the time the case is initiated Numbers) showing which party is represented by the attorney. Filename (including format) size (pages, memory) The completed electronic envelope containing details about BLOB Date/time of submittal for filing Payment information (e.g., credit card holder, amount, number, expiration date) KC KC KC (s) (s) King County E-Commerce and EFM Transfer electronic (BLOB) to EFS application Verified receipt of payment for any service prior to its being provided to the person JXDD, v 3.0 King County E- Commerce Schema

12 3. Initiates New Case Electronically Using King County s Web Based E-Filing NOTE: Steps different from e-filing a in an existing case are indicated in Italics. Step Step Name Step Description Data Exchanged 6 E-Filing Checked for Problems checks (s) for problems (e.g., integrity, virus, format). Complete content of e-filed KC (s) (s) Prevent filing that may undermine system integrity 7 Validation 8 Admits 9 Record 10 Backup of 11 Automatic Sealing validates (s) against prescribed receives (admits) (s) and assigns them unique identifiers records (s) to appropriate storage media within DMS creates duplicate images (files) for each received for filing automatically seals s that are in a sealed case type or for which filer has indicated an Order Sealing exists or will be requested (for which sealing is provisional) Data necessary for validation ID (from system this is not the same as Case Number) format ID (from system) KC KC DMS Ensure is validated per the Assign unique identifier to each DMS Ensure is trackable and retrievable DMS Secure received s against interference of any kind ID DMS KC or Other, EFM JXDD, v. 3.0

13 3. Initiates New Case Electronically Using King County s Web Based E-Filing NOTE: Steps different from e-filing a in an existing case are indicated in Italics. Step Step Name Step Description Data Exchanged 12 Case Number Assignment 13 Conformed Copy Receipt assigns appropriate case number for newly initiated case displays information summarizing the completed Electronic Filing, including assigned Case Number, date/time of filing, effective date/time of filing, and filing fee payment information Case Number (and Sub- number for each ) Case and information Filing information: date/time of filing (plus effective date/time of filing if after hours); ID; Case #; etc. (s) (s) EFM KC or Other, and Case Scheduling EFM (prints or saves displayed information) KC or Other Court s case number becomes unique ID for the case and its s Verification for that electronic filing has been accepted into the CMS and DMS for processing 14 Case Schedule Issued generates Case Schedule, applying court rules to set forth milestones and trial date for the case and judge assignment Case Schedule EFM and Case Scheduling Case initiation; starts service process by providing Schedule to case initiator (service not provided through E- Filing ) JXDD, v 3.0

14 3. Initiates New Case Electronically Using King County s Web Based E-Filing NOTE: Steps different from e-filing a in an existing case are indicated in Italics. Step Step Name Step Description Data Exchanged 15 Data Sent to DMS and queued for Clerk Review passes data about (s) from envelope to DMS and queues for Clerk Review Case # Case Title IDs Titles Other data as required (s) EFM DMS (s)

15 Step Step Name 1 * Clerk Review 4. Clerk Review and Entry into CMS/DMS in King County Step Description Data Exchanged Clerk reviews and data in the DMS, making permissible corrections if needed Clerk s Action Required Fee Data Filed Date/Time Case Number Case Designation (courthouse or special handling) Case Title Cause Code Seal indicator Sub Number Assignment SCOMIS (docket) code Description (s) (s) Clerk DMS EFM Review data and submitted by e-file user to confirm it is correct before accepting for filing in court file. JXDD v * Assign Workflow 3 Commit to DMS Clerk assigns to the appropriate workflow in the DMS. commits the to the DMS, making it available for viewing in the electronic court file. Name of Workflow Clerk DMS Queue in appropriate electronic workflow for further processing. information linking it with the electronic court case file. DMS Clerk Make available for viewing in the electronic court file as soon as accepted by the Clerk.

16 4. Clerk Review and Entry into CMS/DMS in King County Step Step Name 4 * Process Workflow Step Description Data Exchanged Clerk processes from the workflow in the DMS, validating and/or entering data about the into the DMS. 5 Docket transmits docket data from the DMS to the CMS. (s) (s) Docket data Clerk DMS EFM Clerk processes the and validates/enters docket data Docket data EFM DMS, AOC JIS (CMS) Statewide index of court files is maintained. JXDD v 3.0 JXDD v Audit Log records audit log of the transaction. 7 Backup creates backup copy of processed court. Audit log entry DMS Audit log of processing of court s is maintained. DMS Court file is recoverable in the event of a system failure. AOC JISC standard for JIS-to-DMS interface * These processes are eventually envisioned to be optional for some types, with the system handling the automated entry into the CMS/DMS with no human intervention.

17 5. Request in King County Step Step Name Step Description Data Exchanged 1 Request requests via the Clerk s Web Site. Case Number Sub Number ID (s) (s) KC DMS Public requests for access to s in the court file. 2 Check Authorization 3 Return checks whether user is authorized to view requested. returns a copy of the to the user via the Clerk s Web Site. ID Privilege Level Case sealing indicator sealing indicator Index Information DMS Sealed court s and cases are protected from viewing by unauthorized individuals. KC Web ECR Viewer DMS, KC Court file s are accessible for viewing by authorized individuals. Note: King County s initial E-Filing project does not include query and response functionality that would allow requesting a via a commercial through a standards-based interface. This functionality may be added in the future.

Court Policy Interface Requirements

Electronic Court Filing Technical Committee Court Policy Interface Requirements Document Number To be assigned Current Version Final Draft Previous Version(s) Concept Draft June 21, 2002 Working Draft