Table of Contents

Overview

The Administrative Office of the United States Courts is moving swiftly to implement a case management/electronic case filing (CM/ECF) system in all district, appellate, and bankruptcy courts nationwide. The case management (CM) and docketing portion replaces the aging software currently used by most courts with a nationally-supported but flexible system that allows courts to customize its own docketing and reporting capability. The electronic case files (ECF) portion allows courts to manage documents electronically to whatever extent they choose, from allowing attorneys to e-file documents and create docket entries over the Internet, to having court staff convert paper documents into electronic form by scanning. It also provides 24-hour access to case files by judges, court staff, and the public in a reliable and secure electronic form. Potential advantages of CM/ECF include the concurrent availability of complete case files and documents to multiple users, as well as reduced physical storage needs and traffic in the clerk's office. In addition, notices of filings and other case activity are automatically transmitted to case participants via e-mail and documents are instantly accessible via the Internet. Delays and added expenses associated with mail or courier services will be a thing of the past. If the system's ECF capabilities are fully used, most documents will never arrive at the Clerk's Office intake window.

The primary method to obtain access to electronic case files through the Internet will be through a modified version of the old Public Access to Court Electronic Records (PACER), called ECF-PACER. This new web-based system will contain both the dockets (a list of the documents filed in the case) and, after the court begins accepting electronic case filings, electronic copies of the actual case file documents. Individuals who seek off-site access to a particular document or case file will need to open a PACER account and obtain a login and password. Logins and passwords from the old PACER system are transferable to the new system. Like PACER, an individual may access case files in ECF PACER whether those files were created by imaging paper files or through CM/ECF, over the Internet.

In addition to maintaining a PACER account, those members of the Bar who have applied for and been certified to file their pleadings in electronic form will also receive a separate ECF login and password. Although they will access the system in the same manner as the general public, their unique password and login will give them access to an array of screens that will allow them to file pleadings and notify all cases participants electronically. Access through PACER will involve a fee of $.07 per page of a case file document or docket viewed, downloaded or printed. Electronic case files also will be available for viewing free of charge at our public computer terminals located in the Clerk's Office.

CM/ECF implementation has been a significant undertaking. This 10-month period included time to plan, develop, and implement policies and procedures, receive and provide training, customize the system, and convert data from existing case management systems. Implementation of a fully functional ECF component, including the capability for allowing electronic filing by members of the Bar, will occur in civil cases on September 7, 2004, and in criminal cases within several months. 

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Portable Document Format (PDF) Information

All documents submitted through the court's ECF system must be filed in Portable Document Format (PDF).  Thus, users will need PDF software to both read these documents, known as PDF reader, and PDF software to create these documents, known as PDF writer or creation software.

PDF Reader Software - Filing Users must install PDF reader software, which is required to open and read PDF documents filed through the ECF system and maintained on the court's docket.  PDF reader software may be downloaded at no cost at www.adobe.com.

PDF Writer or Creation Software – There are two types of PDF creation documents:  electronically converted PDF documents and scanned image PDF documents.  Unless otherwise specified in the ECF Administrative Procedures or by court order, only electronically converted PDF documents may be filed with the court using the ECF system.  Thus, Filing Users must install PDF creation software in order to electronically convert documents created in a word processing system (MS Word, WordPerfect, etc.) into a PDF document. 

There are numerous different vendors who provide PDF creation software.  The federal judiciary does not endorse or recommend any specific PDF software.  For a listing of different PDF creator or converter vendors, click here.

If you have Corel WordPerfect Version 9 or above, your word processing program already has the capability to create PDF documents by clicking on File => Publish to PDF.  If you have Microsoft Windows, you can check by clicking on Start => Settings => Printers and review whether you have a PDF printer listed, such as Acrobat Distiller, PDF Writer, PDF995, or any PDF-like listing. Depending on the functionality of these existing systems, however, you may nonetheless want to purchase different PDF creation software.

How to Convert Word Processing Documents to PDF -  You must convert all of your documents from their native word processing application to PDF format using PDF creation software before submitting them to the court through the ECF system.  Although the court cannot endorse any specific PDF vendor, we have chosen to depict our instructions with reference to Adobe.  For instructions on how to convert documents to PDF format, click here.

Assure Your Converted PDF Retained the Desired Pagination/Format – Depending on the font, headers, the printer selected, and other document characteristics, the pagination and format of a document may change during the conversion process.  Thus, you always want to be careful to review converted documents to assure they maintained the desired format before submitting the document through ECF.  If the document changed format, you may want to simplify the font or other document characteristics or try a different method of converting to PDF, such as using PDF Distiller rather than PDF Writer or even trying to Publish to PDF if you have WordPerfect 9 through 11.  You may also want to try downloading an alternative PDF writer software, such as PDF995, and reattempt conversion.   Lastly, you can purchase an annual customer service contract with most vendors to assist you with this process.

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Reference Materials

• Administrative Procedures for Electronic Case Filing--PDF format (Acrobat Reader required).  These procedures supplement the federal rules of procedure and the district's local rules and address numerous electronic filing issues.
  
• Attorney ECF Registration Form--PDF format (Acrobat Reader required).  All persons seeking to file in ECF must register to obtain a login/password.
  
• Converting Documents to PDF--PDF format (Acrobat Reader required).  All documents filed in ECF must be in PDF format.  This document explains how to convert documents from your word processing document to a PDF document.
  
• Adobe Acrobat 6 Compatibility Tips--PDF format (Acrobat Reader required).  If you purchase Adobe Acrobat Writer version 6.0, you will need to make sure your saved PDF document is "backward compatible" with ECF.  This document will show you how to properly install and configure the software.
  
• Scanning Tips--PDF format (Acrobat Reader required).  Documents that cannot be electronically converted will need to be submitted in a scanned PDF format.  This information sheet should provide some assistance and guidelines for scanning.

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Registration

A attorney must register with both PACER and ECF in order to file documents electronically.  An attorney admitted to the Bar of this court, including an attorney admitted pro hac vice, may register for ECF.  The District Court ECF Registration Form can be completed through our online registration process.

Training

• Computer-Based Training Modules (CBTS)
• Texas Southern Demo Database

If you have attended either District or Bankruptcy CM-ECF training in our district or another federal court, you are not required to attend our training sessions. Complete the registration process for District CM/ECF and indicate the district in which you were trained.

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System Requirements

You will need the following computer hardware, software, and accounts:

• Personal computer (Pentium or higher/MacIntosh equivalent) (64MB Ram) running a standard platform (e.g., Windows 95, 98, 2000, NT). Minimum IBM or Mac PC with a 486-66 mhz Processor and 16MB Ram, Windows 3.1.
  
• Portable Document Format (PDF) compatible word processing software for creating pleadings (e.g., Corel WordPerfect, Microsoft Word).
  
• Adobe Acrobat 4.0 or higher, which includes both the Acrobat Reader for reading documents in PDF and Acrobat Writer for converting documents into PDF.  For a list of different PDF conversion vendors, click here.
  
• An Internet Service Provider using point-to-point protocol (PPP) for accessing the Internet and for sending and receiving e-mails. Some type of Broadband, DSL, or T-1 service is highly recommended (minimum access speed of 56K). Netscape Version 4.76 and Internet Explorer 5.5 are recommended at this time. To download Netscape 4.76 click here. Internet Explorer 5.5 is no longer available for download from Microsoft.  We anticipate CM/ECF will interface with Netscape 7.0 and Internet Explorer 6.0 by the Fall of 2004.
  
• PACER account with PACER login and password. (ECF login and password if you have permission to file electronically).
  
• Document scanner. We would prefer that all documents filed be converted directly from a word processor into PDF. However, if you need to image a document so you can file it electronically, consult the attached tips that are used in several other CM/ECF courts.

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Security Controls

The following is an excerpt from an Administrative Office publication on the issue:

In accordance with the security plan, numerous controls have been built into CM/ECF. The major technical controls are described below.

• User Identification and Authentication: Only valid users who have log-ins and passwords for CM/ECF can get access to the CM/ECF system. Assignment of CM/ECF accounts for filing is authorized by the individual court. User IDs for CM/ECF public access are maintained by the PACER Service Center.
  
• Authorization and Access Controls: Authorization and access controls for the CM/ECF application are in place and monitored by the court or by PACER Service Center personnel. These controls regulate who has access to particular types of information. Moreover, non-court users do not have direct access to the court's internal system.
  
• Data Integrity and Validation Controls: Documents filed in CM/ECF are automatically given a unique "digital signature" that can be used to determine whether someone has modified it.
  
• Audit Trail Mechanisms: CM/ECF provides many logs and audit trails of access to the system. In addition, the Internet access firewalls have intrusion detection. Mechanisms are also used to detect tampering with the system. The AO has an ongoing program of testing the effectiveness of these security controls.
  
• Replication: Each CM/ECF transaction applied on the court's local system is also duplicated (replicated) to a replication server in one of two secure Sprint data centers. This real-time copy of the court's CM/ECF system is usually available as a "backup" if the court's local system fails or becomes inaccessible due to flood, fire or other disaster. Court staff can have immediate read-only access to the replication server, and outside users can be provided with access very quickly (approximately 30 minutes). If problems with the local system are more severe, the court can do a full "fail-over" to the replication system for continued docketing as well as querying. Full fail-over requires that systems staff make some adjustments to the systems, and therefore users cannot effect an immediate change for themselves. The full fail-over can be accomplished in approximately one hour. Replication does not currently support local applications, so calendaring or other local applications are not available while the court is failed-over to the replication server. While replication is one component of the court's disaster recovery plan, it does not protect against all types of failures. To date, there have been many instances where courts used read-only access to the replication server. There have been only three incidents where courts decided to do full fail-overs. Two of those courts were able to avoid the cost of extended system down-time by using the replication server as their primary docketing system. But the third court found that the data corruption that caused its local server to fail also caused its replication to fail. That court had to resort to backup tapes to restore its CM/ECF system.

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Skills

You will need the following skills:

• Ability to access the Internet and specifically the Court's CM/ECF system.
  
• Ability to perform the following functions using an Internet browser:
  • Use the Forward and Back buttons
  • Set up bookmarks
  • Click on check boxes using a mouse
  • Type in text boxes
  • Download files
  • Print documents
  • Set home page addresses
  • Use hyperlinks
    
• Ability to read a document in PDF using Adobe Acrobat Reader.
  
• Ability to convert a word processing document into PDF using Adobe Acrobat Writer (requires the full Adobe Acrobat program).
  
• Ability to scan a document into PDF.
  
• Ability to utilize an Internet e-mail system to send and receive messages from outside of your office.
  
• Ability to attach files to an e-mail message.

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Frequently Asked Questions

1. CM/ECF Project Background
2. User Information
3. Systems Access
4. Systems Capabilities - Filing
5. Systems Capabilities - Other
6. Hardware/Software Requirements
7. Specifics for Attorneys

1. What is the case management/electronic case files project?

ANSWER: CM/ECF is a joint project of the AO and the federal courts to replace the existing case management systems in the federal courts, e.g., ICMS Civil/Criminal, the Appellate Information Management System (AIMS), BANCAP, NIBS, etc., with a new case management system based on current technology, new software, and increased functionality requested by the courts. In addition to providing the courts with updated tools for managing their cases, this new system will enable the courts to maintain electronic case files and offer electronic filing over the Internet.

2. What are the benefits and features of using CM/ECF for courts, attorneys and the public?

ANSWER: There are a number of significant benefits and features for courts, attorneys and the public:

• Full case information, including the docket and the filed documents, are readily available to judges, chambers staff, and clerk's office personnel simultaneously without having to retrieve case records from the file room. These court users can also access this information at any time from locations other than the courthouse, via the Internet.
  
• Registered attorneys can file and retrieve court documents 24 hours per day, 7 days per week.
  
• Attorneys filing over the Internet automatically create docket entries.
  
• Attorneys, parties and the general public are able to view case records using the Internet. This includes the ability to view the full text of all filed documents (subject to any limitations the court might impose).
  
• Attorneys can receive notices electronically in ECF cases; this eliminates the costs to both the court and attorneys of handling and mailing paper notices. It also greatly speeds delivery and allows easier tracking of case activity.
  
• Maintaining files in electronic form reduces physical storage space needs.
  
• Since CM/ECF uses Internet standard software, the out of pocket cost of participation for attorneys is typically very low.

3. Do courts have to use the electronic case filing portion of CM/ECF?

ANSWER: No. Courts may choose to use only the case management portion of the new software and continue as a paper only operation. The Electronic Case Filing (ECF) portion is optional. There are multiple ways that courts can use the ECF capabilities. They can scan documents received in paper form or they can permit filing of documents in electronic form. Scanning may be needed as a supplemental process to convert documents that cannot be obtained in electronic form.

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User Information

1. How many users can submit documents at once?

ANSWER: There is no fixed limit. Response time and expanded use will ultimately tell us what the acceptable limit might be. Enhancements to communications capacity is expected to be an ongoing task to ensure that we meet the needs of the users.

2. How many people at a time may view a document? How many people at a time may view the docket?

ANSWER: There are no limitations for either function.

3. Will the creator of the docket entry be identified?

ANSWER: Yes. All entries can be identified by the name of the person that logged in and submitted the entry. Whether and how a person's name appears in a docket entry may be determined by the court (e.g., full name, initials, etc.).

4. Is there a limit to the number of aliases a party may have?

ANSWER: No.

5. How will signature of documents be handled for documents filed electronically?

ANSWER: The user log-in and password required to submit documents to the Electronic Filing System serve as the Filing User's signature on all documents filed with the Court. They also server as a signature for purposes of Rule 11, Fed. R. Civ. P., the Local Rules of thie Court, and any other purpose for which a signature is required in connection with court proceedings. The name of the Filing User under whose log-in and password the document is submitted must he preceded by an "/s" and typed in the space where the signature would otherwise appear. A Filing User who electronically files any document requiring the signature of other individuals must either (1) submit a scanned document containing the necessary signatures; or (2) indicate on the filed document by the designation "s/" that the original document has been signed. The original document containing the original signatures of the persons other then the Filing User must be retained.  

6. What technical expertise is required?

ANSWER: CM/ECF is easy to learn and requires little technical experience to use. The basic technical skills needed are familiarity with using Windows and a web browser.

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System Access

1. Will there be restrictions on who may file documents on CM/ECF?

ANSWER: Each court determines to whom filing logins and passwords are issued. At the present time, we are contemplating allowing only attorneys to participate in electronic filing.

2. How is filer identity authenticated?

ANSWER: Authentication is currently completed at login. Each user is required to identify himself or herself by presenting a valid combination of user name and password. Upon doing so, access to the site is granted.

3. Can the general public view ECF cases and the documents in those cases?

ANSWER:  Access to view cases and documents in CM/ECF is available to anyone with a PACER login and password.   PACER offers convenient electronic access to case file documents, listing of all case parties, reports of case related information, chronologies of events entered in the case record, listing of new cases, judgments or case status, and a calendar of events.  However, as a result of the policy recently adopted by the Judicial Conference, the public cannot view documents filed in Civil Social Security Appeal cases or Criminal cases.

To defray the costs of PACER and CM/ECF, the Judicial Conference has set a fee of seven cents per page for electronic court data via the internet, except for calendar information, for which there is no charge. The fee applies to all users, although courts may exempt certain persons, such as indigents. Parties entitled to documents as part of the legal process receive a free electronic copy, although they will be charged for replacement copies, whether in paper or electronic form.

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System Capabilities - Filing

1. How does the system handle the filing of a multi-part motion?

ANSWER: The types of motions that an attorney or court personnel can file are displayed in a drop down window. The user can select one or a list of motions, using the control key and the mouse. The filer should select as many different motions from the list as required to accurately reflect the reliefs sought. CM/ECF then processes each of the motion parts, one at a time, leading the filer through the steps necessary to complete each part. Orders ruling on multi-part pleadings can dispose of each relief separately.

2. When a user files a pleading with the court does the system automatically serve the other parties or does the user have to do something extra to serve the others? And, do the other parties just get notification of a filing or do they get the actual document?

ANSWER: The system is set up so that when a court user or attorney files a document with the court, a notice of electronic filing is generated that includes information about what was filed, the text of the docket entry, the unique document stamp, and a list of case participants that receive email notification of the filing and a list of those that do not. The notice of electronic filing sent to those listed as receiving email notification contains a hyperlink to the document.

For users participating in ECF, receipt of this notice through the court's transmission facilities constitutes "service" by parties as required Fed.R.Civ.P.5(b) and Fed.R.Crim.P.49(b). Other parties who are not registered CM/ECF filers must be served in the traditional manner, with paper documents.

3. Will the system support scanned documents in color?

ANSWER: Yes, the system does support scanned and all other documents in color, however, filing colored documents is discouraged because the size may be an issue.

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System Capabilities - Other

1. How does CM/ECF handle sealed records?

ANSWER: All sealed records in the Southern District of Texas will be retained in the Clerk's Office in paper form, and not made a part of the electronic record. Motions requesting that documents be placed under seal, or any documents filed under seal should be filed in conventional paper format with a clear indication of thier sealed status.

2. How does CM/ECF handle ex parte filings or pleadings that are otherwise sensitive in nature?

ANSWER: Attorneys should file such documents in conventional paper format with the Clerk, and include a clear indication of thier sensitive nature. Such documents will not be made a part of the electronic record unless and until a judical order indicates that they are not sensitive and should be a part of the public record.

3. Will ECF have Applied Docketing capabilities that will allow a user to apply one transaction to more than one case?

ANSWER: Yes, CM/ECF supports Multicase Docketing, for making the identical entry with the same document in each case; and Batch Filings, for making the same entry but with different documents for each case.

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Hardware/Software Requirements

1. What hardware and software will attorneys need to participate in ECF?

• Personal computer (P-3 or higher/equivalent) running a standard platform (e.g., Windows 95, 98, 2000, NT, MacIntosh).
  
• Portable Document Format (PDF) compatible word processing software for creating pleadings (e.g., Corel WordPerfect, Microsoft Word).


• Adobe Acrobat 4.0 or higher, which includes both the Acrobat Reader for reading documents in PDF and Acrobat Writer for converting documents into PDF.
  
• An Internet Service Provider using point-to-point protocol (PPP) for accessing the Internet and for sending and receiving e-mails. Some type of Broadband, DSL or T-1 service is highly recommended as the use of a 56K modem will not allow you to use the full capabilities of the system. Netscape Navigator Versions 4.6 or 4.7 and Internet Explorer Version 5.5 are recommended at this time.  We anticipate by the Fall of 2004, CM/ECF will interface with Netscape 7.0 and Internet Explorer 6.0. 
  
• PACER account with PACER login and password.
  
• Document scanner.
  

2. Is ECF browser specific?

ANSWER:  District Version 1 will be compatible with both Netscape versions 4.6 or 4.7 and Internet Explorer version 5.5.  District version 2, which should be operational by the Fall of 2004, will be compatible with both Netscape version 7.0 and Internet Explorer version 6.0.  Bankruptcy version 1 is compatible with Netscape versions 4.6 or 4.7.  The CM/ECF team is currently testing the bankruptcy version 1 product with Internet Explorer version 5.5 to certify its compatibility with the CM/ECF system.  However, we currently have some users accessing the system through Internet Explorer with positive results.  In either case, your browser must be JavaScript-enabled.

3. Is ECF word processor specific?

ANSWER: No, you may use any word processor that can convert documents to PDF.

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Specifics for Attorneys

1. Can an attorney add new attorneys to the database?

ANSWER: Only court staff with appropriate permissions may add attorneys to the database as system users.

2. What should an attorney or court user do if the document he or she is filing is not listed in the pick list?

ANSWER: Each court maintains its own event dictionary. If a user wishes to file a document that is not listed in the pick list, they can choose "other" and text in the type of document.

3. Is CM/ECF browser specific?

ANSWER: District Version 1 will be compatible with both Netscape versions 4.6 or 4.7 and Internet Explorer version 5.5. District version 2, which should be operational by the Fall of 2004, will be compatible with both Netscape version 7.0 and Internet Explorer version 6.0.  In either case, your browser must be JavaScript-enabled.

4. Is CM/ECF word processor specific?

ANSWER: No, you may use any word processor that can convert documents to PDF.

5. Can the general public view CM/ECF cases and the documents in those cases?

ANSWER: Access to view cases and documents in CM/ECF will be available to anyone with a PACER login and password. PACER offers convenient electronic access to case file documents, listing of all case parties, reports of case related information, chronologies of events entered in the case record, listing of new cases. However, as a result of the policy recently adopted by the Judicial Conference, the public cannot view documents filed in Civil Social Security Appeal cases or Criminal cases.

To defray the costs of PACER and CM/ECF, the Judicial Conference has set a fee of seven cents per page for electronic court data via the internet, except for calendar information, for which there is no charge. The fee applies to all users, although courts may exempt certain persons, such as indigents or bankruptcy case trustees. Parties entitled to documents as part of the legal process receive a free electronic copy, although they will be charged for replacement copies, whether in paper or electronic form. The public may view CM/ECF case files for free on the public terminals located in the Clerk's Office.

6. Will someone submitting a long document monopolize the system to the detriment of other users? How long will it take to transmit/receive lengthy documents?

ANSWER: A user submitting a large document to CM/ECF will not interfere with other users' access. The system uses webbed technology which is designed to service large numbers of users simultaneously.

The time it takes to transmit or receive a document primarily depends on the user's Internet Service Provider (ISP), modem speed, and the size of PDF file being transmitted or received. Generally, the larger the file, the longer it will take to load. Our procedural order will limit the size of documents that can be filed. In most instances, however, the size of the document will not be restricted by the electronic filing process.

The CM/ECF system will accept both text and image PDF files. The text PDF file is usually the result of saving a document from a word processor in PDF format using Adobe Acrobat PDFWriter. The image PDF file is usually created by scanning a paper document in PDF format. The text file can be transmitted to the CM/ECF application faster than the image file because it is much smaller in size. While the difference in speed is usually not noticeable in a 1 or 2 page document, the difference can be significant when a document reaches about 20 pages in length.

7. How will signature of documents be handled for documents filed electronically?

ANSWER: The user log-in and password required to submit documents to the Electronic Filing System serve as the Filing User's signature on all documents filed with the Court. They also server as a signature for purposes of Rule 11, Fed. R. Civ. P., the Local Rules of thie Court, and any other purpose for which a signature is required in connection with court proceedings. The name of the Filing User under whose log-in and password the document is submitted must he preceded by an "/s" and typed in the space where the signature would otherwise appear. A Filing User who electronically files any document requiring the signature of other individuals must either (1) submit a scanned document containing the necessary signatures; or (2) indicate on the filed document by the designation "s/" that the original document has been signed. The original document containing the original signatures of the persons other then the Filing User must be retained.  

8. What happens if a document is filed in error?

ANSWER: CM/ECF allows court personnel to edit errors made in the docket entry.  Besides making the appropriate corrections, the court may need to ask participants to submit amended pleadings. Instances that affect calendar entries and noticing will need to be redocketed. Many courts are choosing not to edit the docket entry and use a “corrective entry” event, which officially records substantive errors on the docket sheet and will generate a Notice of Electronic Filing.  This allows the distribution of the correct information to the participants who originally received the erroneous information.

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