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  1. Technical Committee Administration
  2. TCADMIN-1152

Candidate OASIS Standard Submission Request for Electronic Court Filing v4.01



    • Type: Task
    • Status: Closed
    • Priority: Major
    • Resolution: Fixed
    • Component/s: OS Submission
    • Labels:


      Submitted on Saturday, January 19, 2013 - 19:44
      Submitted by user:
      Submitted values are:

      Submitter's Name: James Cabral
      TC Name: LegalXML Electronic Court Filing
      TC Email Address: legalxml-courtfiling@lists.oasis-open.org
      Work Product Title: Electronic Court Filing v4.01
      (a) COS URI:
      (b) COS URI (editable source):
      (c) Certification by the TC that all schema and XML instances are well-formed
      and that expressions are valid: We so certify
      (d) A clear English-language summary of the specification:
      This specification describes the technical architecture and the functional
      features needed to accomplish a successful electronic court filing system,
      defines both the normative (required) and non-normative (optional) business
      processes it supports. The non-functional requirements associated with
      electronic filing transactions, as well as the actions and services needed to
      accomplish the transactions, such as network and security infrastruc-tures,
      defined in related specifications, namely:
      • Service interaction profile specifications that define communications
      infrastructures, within which electronic filing transactions can take place
      • Document signature profile specifications that define mechanisms for
      or ensuring that a person signed a particular document

      This specification supports the following automated information exchanges:
      • Transmission of documents in electronic form from law firms and from
      persons and organizations to a court for entry ("official filing") into
      court's official case records
      • Recording of documents in electronic form from members of the court and
      court administrators into the court's official case records
      • Transmission of data needed to complete (or demonstrate the previous
      completion of) financial transactions involving filing fees or the payment of
      any other court fees, fines and financial obligations
      • Transmission of the metadata needed to initiate a new case record in a
      court's automated case management system (CMS) when the document being
      transmitted is one that commences a new case in that court
      • Transmission of the metadata needed to create an entry that records
      (indexes) a filed document in a court's electronic listing of cases and
      contents (variously called a "docket" or "register of actions")
      • Transmission of the metadata needed to update the information recorded
      a case that is maintained in a court's CMS
      • Messages returned to the sender that confirm a court's receipt of the
      sender's filing message
      • Messages notifying the sender of events such as the entry of the
      submitted by the sender into the court record (or an error message stating
      the document[s] could not be accepted for filing and stating the reason[s]
      • Queries to the court seeking information about data and documents held
      within the court's official electronic records and the return of
      in response to those queries
      • Queries from filers for the court rules and requirements for electronic
      • Queries by filers seeking from the court record system the names and
      addresses of parties in a case who must be served and whether by traditional
      electronic means
      • Transmission of copies of documents submitted for filing to the other
      parties in a case who are registered to receive service electronically

      In addition to filing of court case documents, this specification supports
      "secondary service" - the delivery of copies of filed documents to
      who have already been made parties to a case. This specification does NOT
      support "primary service," which entails the service of summonses,
      subpoenas, warrants and other documents that establish court jurisdiction
      persons, making them parties to a case. Therefore, this specification does
      support the following automated information exchanges:
      • A query by a filer seeking from the court record system the names and
      addresses of parties in a new case who must be served to establish court
      jurisdiction over them in the new case
      • Transmission of copies of or links to documents submitted for filing to
      party in a new case or any newly added parties in an existing case

      This specification defines a set of core structures that are common to most
      types of court filings and defines specific structures that apply to filing
      documents in the following types of court cases:
      • Appellate
      • Bankruptcy
      • Civil (including general civil, mental health, probate and small claims)
      • Criminal (both felony and misdemeanor)
      • Domestic relations (including divorce, separation, child custody and
      support, domestic violence and parentage, i.e., maternity or paternity)
      • Juvenile (both delinquency and dependency)
      • Violations (including traffic, ordinances and parking)

      Although ECF 4.01 does not define data structure elements specific to other
      types (e.g., administrative tribunals), the basic structure will support
      types of court filings and is extensible through court-specific and
      case-type-specific extensions.

      (e) Relationship of this specification to similar work:
      National Information Exchange Model (NIEM)
      NIEM conformance, as defined by the NIEM Implementation Guidelines (NIEM
      is a core objective of this specification. The NIEM is an XML standard
      specifically for justice information exchanges, providing law enforcement,
      public safety agencies, prosecutors, public defenders and the judicial branch
      with a tool to effectively share data and information in a timely manner.
      NIEM provides a library of reusable components that can be combined to
      justice information exchanges. The NIEM removes the burden from agencies to
      independently create exchange standards. Because of its extensibility, there
      more flexibility to deal with unique agency requirements and changes.
      the use of a common vocabulary that is understood system to system, NIEM
      access from multiple sources and reuse in multiple applications. The use of
      NIEM element names does not require any change in local legal terminology.
      tag names are invisible to the user of an application employing them.
      The NIEM is most useful for describing common objects such as persons and
      locations, and criminal justice-specific processes such as arrest, booking,
      and prosecution. The NIEM is not as well developed for describing
      information exchanges and processes. ECF 4.0 uses the NIEM version 2.0 where
      the structures and definitions correspond to the requirements of ECF 4.0.
      development process, including the NIEM modeling process, is described in
      Appendix B.

      OASIS Universal Business Language
      UBL is an OASIS Standard that provides a single ubiquitous language for
      communication, and takes into account the requirements common to all
      enterprises. UBL provides a shared library of reusable components, essential
      interoperability that can be combined to create electronic business schemas.
      Without a common set of base components, each document format would risk
      redefining addresses, locations and other basic information in incompatible
      ECF 4.0 employs the following structures in the UBL to describe filing
      and payment receipts:

      Information about a charge or discount price component.

      Information about a structured address.

      Information directly relating to a specific payment.

      W3C XML-Signature Syntax and Processing
      The W3C XML Signature Syntax and Processing (XMLSIG) specification describes
      mechanism for signing electronic documents. This mechanism allows recipients
      electronic documents to identify the sender and be assured of the validity of
      the electronically transmitted data. XMLSIG defines standard means for
      specifying information content that is to be digitally signed.
      ECF 4.0 employs the XMLSIG specification to describe digital signatures
      to the entire ECF 4.0 message transmission in order to provide
      encryption and message integrity. XMLSIG is also used in the ECF XML
      Signature Profile.

      OASIS Reference Model for Service Oriented Architecture
      The SOA-RM is a framework for understanding significant entities, and the
      relationships between those entities, within a service-oriented architecture.
      ECF 4.0 describes such an architecture and includes terminology that conforms
      the SOA-RM.

      OASIS Code List Representation (Genericode)
      The OASIS Code List Representation format, Genericode, is a model and XML
      that can be used to encode a broad range of code list information. The XML
      format is designed to support interchange or distribution of
      code list information between systems. All ECF 4.0 code lists that are not
      defined in the NIEM are provided in Genericode 1.0 format.

      -(f) Statements of Use-
      Link to Statement of Use #1:

      Link to Statement of Use #2:

      Link to Statement of Use #3:

      Additional Statements of Use:

      -(g) Public Reviews-
      30-day Public Review Announcement URI:
      Additional Public Review Announcement URIs:
      Comment Resolution Log URI:


      (h) COS Ballot URI: https://www.oasis-open.org/committees/ballot.php?id=2344
      Earlier attempts to standardize: No
      (j) TC Comments Archive URI:
      (k) Length of COS Public Review Requested: 61

      The results of this submission may be viewed at:




            • Assignee:
              chet-oasis Chet Ensign
              jcabral Jim Cabral (Inactive)
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