ECF 5.0 Core Specification Change Log:

IEPD Changes

-Update/reconcile NIEM mappings with NIEM 3.2 including:

  • Change data type of element j:Offense from nc:IncidentType to j:OffenseType in the NIEM 3.2 subset
  • Add j:DrivingIncidentBloodAlcoholContentNumberText to j:DrivingIncidentType in the NIEM 3.2 subset and deprecate PersonBloodAlcoholNumber
  • Add new element j:JuvenileAsAdultIndicator to j:PersonChargeAssociationType in the NIEM 3.2 subset
  • Add support for new NIEM Children Youth and Family Services (CYFS) domain including:
  • Resolve overlap of new delinquency and dependency elements in ECF juvenile case type
  • Resolve overlap of new child support enforcement elements with ECF domestic case type
  • Add DocumentIdentification to uniquely identify multiple documents associated with the same DocketID
  • Add AffectedPartyID and AdditionalData to DocumentMetadataType
  • Add the following elements in nc:CaseDispositionDecision to the NIEM subset:
  • nc:CaseDispositionDecisionCategoryText - A kind of decision made in a case disposition.
  • nc:CaseDispositionDecisionText - The literal language of a decision.
  • Eliminate j:CaseCharge from CitationCaseAugmentation
  • Align schemas with UML Profile for NIEM 3.2 (TBD)?

-Add the following new MDEs:

  • Court Policy MDE – handles GetPolicy queries instead of FilingReview MDE
  • Court Scheduling MDE – handles new GetCourtSchedule query and ReserveCourtDate message
  • Document Stamping MDE - handles new GetDocumentStampInformation query

-Updates to existing messages

  • Fix cardinality issues including:
  • Add second CaseTrackingID for internal (court and attorney-recognizable) unique/factless identifier to CaseQueryMessage and CaseQueryResponse
  • Make CaseCharge optional in some cases to allow criminal-related filings without charges (e.g. Probation reports)
  • Relax definitions to allow case-type extensions to be used in any filings
  • Make Document metadata and rendition in FilingLeadDocuments optional.
  • Make required elements explicitly "maxOccurs=1" and setting PersonLastName to "maxOccurs=1"?
  • Allow multiple reviewed lead documents in RecordDocketingMessage
  • Add CorrectedCoreFiling (optional), PaymentMessage and CorrectedPaymentMessage (optional) to RecordDocketingMessage
  • Replace bankruptcy case-specific message with IEP from bankruptcy filing form IEPD developed by the AOUSC
  • Update criminal case-type specific messages to conform with the Charging Service SSP developed by BJA?
  • Support asynchronous MessageReceiptMessage?
  • Reference payor in Payment Message with s:ref in NIEM payor within the same XML instance
  • Provide NIEM 3.2 augmentation points in each message to facilitate extensions
  • Add optional case-type parameter to GetPolicy query
  • Facilitate exchange of identity information

-Add the following new messages:

  • CancelFiling – request from the Filing Assembly MDE to the Filing Review MDE to cancel a filing prior to acceptance
  • GetDocumentStampInformation – request for case information from the Document Stamping MDE necessary for stamping by the Filing Review MDE
  • ReturnDocumentStampInformation - asynchronous response to GetDocumentStampInformation that returns case number, title, etc.
  • GetFilingAssemblyProviders – enables FilingAssembly MDEs to query other court-supported FilingAssembly MDEs for information about their respective registrants. Alternatively, a common registration system may be used.
  • ServeProcess - limited electronic service of process (electronic delivery to process servers and registered agents)
  • GetCourtSchedule –
  • ReserveCourtDate –
  • AllocateCourtDate –
  • NotifyCourtDate -

-Update all ECF code lists to:

  • Conform with new NIEM guidance on Genericode
  • Include code list version # or last update date/time to simplify synchronization of code lists
  • Fix inconsistencies between ECF error codes and specification?

-Add new code lists

  • Genericode code lists for case/filing and document sensitivity.

-Extend machine-readable court policy to:

  • Include MaximumAllowedAttachmentPages
  • Indicator of whether filer is required to serve (required, option, not applicable)?

-Update ECF 5.0 Web Services SIP WSDLs to:

  • Address feedback from Springboard
  • Provide wrappers/containers for each message that are
  • Consistent with Document/Literal approach
  • Named consistently with the operation name
  • Allow multiple components to a operation (e.g. ECF message + UBL payment)

Specification Changes

-Clarify scope

  • Clarify that the specification does not define how clerk review is completed (automated, manual, etc.). Manual clerk review is not required - auto-acceptance of filings is supported.
  • Clarify that filers may re-submit filings to correct minor errors. This should be a feature of the Filing Assembly MDE.
  • Allow pass-through of queries from FilingAssembly MDE through FilingReviewMDE to CourtRecordMDE

-Add new features

  • New Court Policy MDE
  • New Court Scheduling MDE
  • New Document Stamp MDE and operations support retrieval of case information required for stamping
  • Limited electronic service of process to and registration by process servers and registered agents
  • Support for Multiple EFMs with Court Policy MDE, proxy (pass-through) of messages, and exchange of identity information
  • Security roles and groups (per McMillan paper)?
  • Add support for evidence tracking?

-Update to latest version of NIEM (3.2)

  • Limit extensions to NIEM 3.2 augmentations
  • Extend NIEM objects (Person, Organization, Case, Metadata) with augmentation points provided in the NIEM subset
  • Extend ECF messages with message-specific augmentation points
  • Do not use implicit substitution groups to override NIEM or ECF objects other than augmentation points
  • Conform with NIEM Model Package Description (MPD) 3.10 (2015 April 27) guidelines. The ECF subset and extension schemas should be considered a NIEM BIE.
  • Conform with NIEM Naming and Design Rules 3.0 (31 July 2014)
  • Conform ECF and court-specific code lists to NIEM Code Lists Specification 1.0 (June 20 2016)
  • Align UML and mapping spreadsheet with UML Profile for NIEM 3.0 Beta 1 (August 2015)?
  • Align Criminal Case augmentations with Global Charging Service Reference SSP?

-Update to latest version of OASIS UBL (2.1 OASIS Standard 2013 November 3)

-Update ECF 5.0 Web Services SIP to conform with latest versions of Global Reference Architecture (GRA) specifications

  • GRA Reliable Secure Web Service SIP v1.2 (October 2012)’
  • GRA Web Service SIP v1.3 (May 2011)
  • GRA Execution Context 1.3 (April 2014)
  • GRA Service Specification Package (SSP) v1.2 (Aug 2015)

ECF 4.01 Errata 02 Change Log

- References to superceded FIPS 180-2 standard

- Incorrect attachment Content-IDs and cid: references in Figure 2 to conform with [RFC2392]

- Incorrect parameter to operation

- Incorrect references to FilingPaymentMessage

- References to UBL 2.1 Public Review Draft (now an OASIS Standard)

- Incorrect reference in message

ECF 4.01 Errata 01 Change Log

Incorrect Shema Encodings

Missing Atttribute

Inconsistent reference to the UBL

Use of Embedded Attachments is Deprecated

Clarify references to Document Signature Profiles

Incorrect Cardinality in the NIEM core constraint schema

Incorrect cardinality in the NIEM justice domain constraint schema

ECF 4.01 Core Specification Change Log:

IEPD Changes

-Address gaps in ECF-4.0-CitationCase.xsd identified by Doxpop including:

  • include a nc:Vehicle element in CitationCaseAugmentation
  • Add j:IncidentAugmentation to DrivingIncident
  • Add j:DrivingAccidentSeverityCode to the NIEM subset.

-Change the definition of FilingCompletionDate to “the date and time on which the Court Record MDE filing process was completed following the acceptance by the Filing Review MDE”

-Make the following elements optional in the schemas:

  • ProsecutionRecommendedBailText
  • FilingConfidentialityIndicator
  • ColorRelevantIndicator
  • RedactedIndicator

Specification Changes

-Clarify the UBL structures used by ECF 4.0

-Change references to separate ECF 3.x-style “messages” with ECF 4.0 “extensions”.

ECF 4.0 Core Specification Change Log:

IEPD Changes

Remap domain mode to conform to NIEM 2.0

»Map some elements in the ECF subset schemas to NIEM Core rather than Justice domain (e.g. Persons, Addresses, etc.)

»Remap some ECF extensions to new and updated codelists and content in new domains (e.g. new drug category codes, updated language codes, new FBI namespace, new immigration domain)

»Change all ECF 3.1 extensions based on SuperType to either be based on s:ComplexObjectType or include s:SimpleObjectAttributeGroup

»Replace some inheritance and references with associations and roles (e.g. Pro se defendants would be mapped as persons with both defendant and defense attorney roles)

»Add support for type substitution (e.g. enable local courts to override ECF code lists)

»Perform mapping and subset schema generation using new NIEM 2.0 tools

»Add support for alternate contact information through NIEM contact information model.

»Update party attorney relationships to use NIEM 2.0 improved support for roles and associations

»Combine core, casetype-specific and court-specific messages to support NIEM extension mechanisms.

Add support for appellate courts case types including:

»Add a new case-type-specific message based on the new appellate domain model

»Change case lineage to support a hierarchy of multiple-levels of case lineage

»Add the required elements and identifiers to support the ordering of trial court transcripts.

Add better support for traffic, ordinance violations and parking cases including:

»Create a new citation case type message for traffic, ordinance violation and parking case types in jurisdictions that handle these matters as civil rather than criminal cases.

»Include the element for the name of a code in the message.

»Add lot or facility and meter number or space number for ordinance and parking cases.

»Implement significant changes to our approach to the traffic and ordinance case structure.

»Replicate both the traffic and ordinance structure within the criminal case type message to support those jurisdictions in which traffic and ordinance violations are filed as counts in a criminal complaint, information or indictment.

»Add a “red light camera case” indicator to both the criminal and civil traffic case type messages.

Add support for genericode in code tables including defining the columns and keys for existing code tables defined in the ECF specification.

Add new default genericode codelists where appropriate.

Align our current case types with the NCSC case types.

Include additional core judgment elements.

Remap Payments and Receipts to UBL 2.0

Allow more than one document type to be submitted for a filing. The specification will alert courts to the danger of accepting more than one document type for a single filing and how to constrain a court’s implementation so as not to allow multiple document types to be submitted.

Add metadata for multiple renditions (e.g. redacted, multiple language, sealed status) of documents.

Regenerate the constraint schemas

»Change the cardinality of CourtEvent to support multiple documents

Regenerate sample instance for each message

Review compliance with NIEM User’s Guide and NIEM Naming and Design Rules (NDRs)

Specification Changes

Add chunking as an optional feature of SIPs.

Include Brian Hickman’s suggested changes to the text of the specification concerning service.

Add edits of the ECF 3.1 specification to improve readability that were deferred to ECF 4.0 including:

»In section 1.3, replace “leverages” with something more clear.

»In section 1.3.1, note that the use of GJXDM/NIEM element names does not require any change in local legal terminology. XML tag names are invisible to the user of an application employing them.

»In section 1.7, use a publicly accessible URL for the reference to the committee charter.

»In section 2, add words to indicate “recording a filing” involves adding documents that constitute the “filing” into the “court document management system” to resolve the ambiguous language.

»In section 2.2, use the term “legal service” when referring to the business process. Thus, the Service MDE will be renamed the Legal Service MDE.

»In section 2.3.3, substitute “supporting document” for the business context and “message attachment” for the technical context.

»In section 3.2.8, change the reference to the SHA algorithm to “SHA 256”.

»In section 3.3.3.3, use “retain” rather than “archive”.

Add explanatory language on options for using the MDEs in the specification and the requirement to support all messages when implementations do not include all MDEs.

Add support for appellate courts case types including:

»Support a record on appeal as an index document with attachments.

»Support additions to a record on appeal as a new index document with only the new documents attached.

»Support deletions from a record on appeal as a new index document with an attached document that indicates the DocumentDocketIDs of the documents to be deleted.

»Explain the problem with an appellate court rejecting a subsequent message modifying the record on appeal if a previous such message is still pending. The issue is that the trial court’s further corrected index will have to assume that the previous corrected index was accepted by the appellate court.

»Consider the use of the trial court case number for the record on appeal since the appellate court case number doesn’t exist yet.

Update OASIS Notices (IPR statement)

Complete OASIS Specification Checklist

»

Update acknowledgements

ECF 4.0 Web Services SIP Specification Change Log:

Improve MTOM support when next version of WS-I Basic Profile is released

Add support for bulk filings

Add support for chunking using Web Services Reliable Messaging (WSRM) features to track sequential messages.

Validate WSDL with Eclipse

ECF 4.0 Email SIP Specification Change Log:

Develop email SIP

Clarify that the email SIP is only approved use is for the transmission of courtesy notices, not for official information exchanges.

Future:

Provide a non-normative guidance document suggesting alternative methods (best practices) for courts and vendors to implement service, including a multi-vendor environment model.