New Case Management System Under Development

Federal courts nationwide are several steps closer to a new case management system with electronic case files capabilities. A prototype system (CM/ECF) now in use in nine bankruptcy and district courts has been approved for further development, and a nationwide roll-out is anticipated over the next four years.

Case management systems do just that: they enable court staff to manage the court's cases from the filing of the case to termination, keeping track of all court processes in the litigation. The goal is just, speedy, and efficient resolution of disputes. The new CM/ECF system developed by the Administrative Office will replace a number of out-dated and hard-to-maintain case management systems now used by the courts. Unlike the old technology, this next-generation system will provide not only case management, but also electronic case files and electronic filing capabilities.

"A goal of the project is to allow court staff to share information and easily upload information from the district courts to the appellate courts, or from bankruptcy courts to district courts," said Mary Stickney, the CM/ECF Deputy Project Manager. "It has a familiar web-browser interface, so users won't have to memorize a lot of codes in order to use the CM/ECF system. They also will be able to easily view and move between screens." The system's capabilities include the ability to store and secure electronic documents, send electronic notices, and retrieve electronic case file documents.

The electronic case files capabilities allow, but do not require, courts to receive and maintain case files in electronic form. A court may choose its own pace in implementing the electronic case files portion of the application. For example, it may use only the case management portion of the new software and continue as a paperonly operation. Or it may choose to scan images of paper documents or to receive documents on diskette or by way of the Internet so that an electronic case file is maintained. A court also may permit attorneys to submit electronic documents through the Internet and create the docket entries as part of that submission process.

As a web-based system, CM/ECF will allow access to documents immediately and simultaneously, from inside via the court's network or as appropriate from outside the court via the Internet. However, a court can limit access to any document, making it totally inaccessible or accessible only to certain groups, such as court staff or participants in a case.

The District Court for the Northern District of Ohio was one of the first courts to test the CM/ECF prototype. The court has used the system since 1996 to handle an unusually large maritime asbestos caseload that had, at one point, 10,000 pleadings filed weekly, and now handles over 16,000 cases per year.

"We've had good reports from the attorneys who've used the new CM/ECF system," said Chief Judge Paul R. Matia (N.D. Ohio), "and it definitely cuts down on the notification of court entries. Because of its savings to the court, we may be able to deal with increased caseloads without putting on additional personnel."

As of September 1999, the CM/ECF prototype system also has been in operation in the district courts for the Western District of Missouri, the Eastern District of New York, and District of Oregon, and in the bankruptcy courts for the Southern District of New York, the District of Arizona, the Southern District of California, the Northern District of Georgia, and the Eastern District of Virginia. These courts manage nearly 15,000 cases and 150,000 documents using CM/ECF. More than 2,000 attorneys have been trained to use the system, of which 1,000 have already filed documents over the Internet and generated docket entries. Next year, additional courts will assist with testing the implementation process. Two appellate courts have been selected and each is expected to have prototype software available early in the year 2000. Present plans call for bankruptcy and district courts to begin receiving the CM/ECF system beginning in mid-2000 and continuing until delivery is completed by late 2003.

Privacy & Access to Electronic Case Files

The Judiciary has a long tradition of open access to public court records, and, typically, paper copies of case files are available at the courthouse for anyone who wishes to see them. But the ability to provide unlimited electronic access to those files raises some new questions. Some people question the difference between permitting the public to view a document such as a tax return over the counter in the clerk's office and permitting the public to view the tax return via the Internet. But it may be appropriate to protect certain private or sensitive information from electronic dissemination, including arrest warrants and presentence investigation reports, medical reports, tax returns, employment records, personal financial information in bankruptcy cases, and certain records in Social Security cases. The Supreme Court has recognized that access rights are not absolute, and that technology may affect the balance between access rights and privacy interests. Congress also is concerned with the effect of technology on privacy and is considering legislative proposals to shield sensitive personal information from unwarranted disclosure. In the meantime, judges will continue to address privacy issues on a case-by-case basis. To assist, the Administrative Office is providing software, as part of the electronic case files feature of CM/ECF, that allows courts to limit access to files on both a case-by-case and document-by-document basis. A subcommittee of the Judicial Conference Court Administration and Case Management Committee, with representatives from other Conference committees, has been asked to review privacy issues and consider appropriate policies, along with guidance to designers of electronic case file sys-tems, for Conference consideration.