For the most current answers, please view this document

on our court’s website at www.kyeb.uscourts.gov

Note: Netscape is no longer being receiving regular security updates.  Therefore, we can no longer support its use for accessing any governmental system, including CM/ECF!  Please ignore any reference to Netscape in this document.   It will eventually be revised to exclude Netscape. 

GENERAL QUESTIONS

1. What is CM/ECF?

ANSWER: CM is an acronym for Case Management and ECF is an acronym for Electronic Case Filing. It is a system that will be used nationally by the Federal Court system. The new system is based on current technology and new software. 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 offers both access to the files and electronic filing over the Internet.

2. What are the benefits of using CM/ECF to attorneys, the public, and the court?

ANSWER: Some of the benefits are as follows:

ü Full case information, including docket sheets and the full text of the filed documents, are readily available to everyone simultaneously without having to retrieve case records from the file room. Attorneys, trustees, other government agencies, the public, and the court staff can also access this information at any time from any location with Internet access.

ü Registered attorneys, trustees, and the US Trustee can file and retrieve court documents 24 hours per day, 7 days per week with the exception of brief downtimes for system maintenance.

ü Registered attorneys, trustees, and the US Trustee can receive notices electronically in ECF cases. This eliminates the costs to those parties of handling and mailing paper notices. It also greatly speeds delivery and allows easier tracking of case activity.

ü Maintaining files in electronic form reduces physical storage space needs.

ü Since CM/ECF uses Internet standard software, the out of pocket cost for participation is typically low; and, the amount of time needed to learn how to access and use the system is reduced for average computer users.

3. Is CM/ECF currently available?

ANSWER: As of 2/26/03, out of 94 US Bankruptcy Court districts, 46 districts are now live on CM/ECF. Eight of those districts are live on Version 2.2 of CM/ECF. Thirty districts are in the process of implementing Version 2.2 of CM/ECF, with the remaining 18 districts waiting to begin implementation. The entire Federal Court system, including Appellate Courts should be using the new system by 2005. The USBC EDKY was the 7^th court in the nation to go live with Internet payment of filing fees.

4. Will CM/ECF be mandatory at some point in the future?

ANSWER: In the US Bankruptcy Court for the Eastern District of Kentucky, electronic filing of pleadings is now mandatory for attorneys. The US Bankruptcy Court for the Western District of Kentucky also has a mostly mandatory ECF policy.

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

ANSWER: Yes, there will be a public terminal(s) in the intake area of the US Bankruptcy Court of the Eastern District of Kentucky for viewing of cases. Also, access to view cases and documents is available from any location with Internet access to anyone with a PACER login and password.

6. Are there still fees for PACER access?

ANSWER: Yes, the Judicial Conference of the United States has set a fee of 7 cents per page for obtaining electronic court data via the Internet, except for calendar information, for which there is no charge. Parties entitled to documents as a part of the legal process receive a free electronic copy as part of the e-mail noticing system. It is highly recommended that you not only save the Notice itself, but open and view the document in your e-mail and save a copy on your own office computer system or print out a paper copy at that time. Effective April 1, 2002, there is a $2.10 maximum charge per document/attachment viewed/printed.

7. How many users can submit documents at once?

ANSWER: There is no fixed limit. It is expected that the system will maintain good performance (with our current bandwidth) with 100+ users at one time. Enhancements to communications speed and capacity are expected to be an ongoing task to ensure that we meet the needs of users.

8. How many people at a time can view the same document image or the same report, such as a docket sheet, in a case?

ANSWER: There are no limitations for either function.

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

ANSWER: Yes, the first and last name or the initials of the person that logged in and submitted the entry will identify all entries.

10. Some docket reports are very long, with hundreds of entries. Can a docket report be run for only part of the docket?

ANSWER: Yes, like most other CM/ECF reports, docket reports have a wide variety of criteria that can be entered, such as a date range, to narrow down the data that is retrieved. Using these options also enables the report to be run faster and relieves the user from receiving extraneous information. Since there is a charge per page viewed/printed, it is recommended that limiting criteria be entered to minimize the number of pages that are retrieved.

11. Will someone submitting a long document monopolize the system to the detriment of other users?

ANSWER: No, a user submitting a large file to CM/ECF will not interfere with other users’ access. The system uses web-based technology, which is designed to service large numbers of users simultaneously. However, in the USBC EDKY, .pdf images are limited to 50 pages or a 4 MB file size maximum per document/attachment.

12. How are privacy issues being addressed?

ANSWER: Bankruptcy cases have always been public records viewable by anyone requesting to see the case. However, there has not been the same ease of universal access that there will now be by having access to the entire case record via the Internet. Because of privacy concerns, the Judicial Conference adopted a new Privacy Policy. The Judicial Conference has created a public website – www.privacy.uscourts.gov - where a copy of the policy is posted.

Changes to the Official Forms and the CM/ECF software will go into effect December 1, 2003. There will be a number of changes. For example, a debtor will no longer have to provide the names and ages of their children on a bankruptcy petition. Also, only the last 4 digits of the debtor(s)’ social security number(s) will display when someone is viewing a pleading such as the petition. These changes will not be retroactive, however, so, they will not be effective for cases filed prior to December 1, 2003.

13. What should I do when support staff leaves my firm?

ANSWER: Go into the “Utilities” section of CM/ECF immediately and change your password. If you fill the position with a new employee and desire to have them trained, go to the court’s website to arrange for a specific training date and time.

14. Will the local court staff train the attorney and his/her support personnel?

ANSWER: Yes, after all current filers and their staff are trained; training will still be offered on a continual year-round basis in the court’s training room to train new attorneys and new staff. You can sign up for a training session by visiting the court’s website.

15. Will there be on-line manuals or on-line help files?

ANSWER: Yes, CM/ECF has on-line descriptions of almost every screen available by clicking on the yellow (?) question mark. It is not necessary to try to figure out how to search for the answer to your question because the help box gives specific information about the screen you are currently viewing. The EDKY also has the training manual available on-line as well.

FILING/PROCEDURAL QUESTIONS

16. Will federal or local rules establish procedures for electronic filing?

ANSWER: The Federal Rules of Bankruptcy Procedure currently authorize individual courts to permit the electronic filing of documents by local rule. See Fed. R. Bankr. P. 5005(a)(2), 7005, and 8008(a). The service of documents electronically is also permitted with parties’ consent. See Fed. R. Bankr. P. 9022 and 9036. The US Bankruptcy Court for the Eastern District of Kentucky also has standing orders and a new “Administrative Procedures Manual” with rules regarding electronic filing, which went into effect on August 1, 2002.

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

ANSWER: Only those persons who have obtained a registered login and password from the court will be able to file a document electronically. Registration will be based primarily on receiving training and a demonstrated ability to use the system correctly. The same federal and state statutes are still applicable, so the filing of any document that is currently considered the practice of law would still have to be filed by an attorney.

18. How will the original signatures on documents be handled for documents filed electronically?

ANSWER: The attorney’s and trustee’s registered login and password will be treated the same as his/her original signature, with the same weight and the same Fed. R. Bankr. P. 9011 consequences. The signatures of third parties such as debtors or affiants should be obtained and kept by the filer of the document for 2 years after the case has been closed as required by the “Administrative Procedures Manual” (Section II F).

19. How is the filer identity authenticated?

ANSWER: Authentication is completed at login. Each user is required to identify him/herself by presenting a valid combination of user login and password. Only a valid combination will allow access to the system.

20. How will the payment of filing fees be handled?

ANSWER: In the USBC for the EDKY, you may now pay filing fees by credit card via the Internet. Our court is the 7^th court in the nation to offer this service.

21. Is there a limit to the size of the document being filed?

ANSWER: Yes, a pleading including any exhibits that is longer than 50 pages must be broken into 50 page .pdf increments. There is also a maximum file size of 4 MB per document/attachment.

22. What will happen to paper documents?

ANSWER: Attorneys are no longer allowed to file paper documents except in certain emergency situations. Attorneys should maintain the signature pages of paper documents for 2 years after the case is closed as required by the “Administrative Procedures Manual” (Section II F).

Paper documents (such as Proofs of Claim filed by creditors) that are filed with the court will be scanned into the system. The original document will either be returned to the filer (if a self-addressed envelope is provided) or will be recycled.

23. How is the list of creditors handled?

ANSWER: The list of creditors must be converted to a .txt file and uploaded using the “Creditor Maintenance” feature of CM/ECF. Many petition preparation software packages now automatically create the matrix in the correct format and automatically upload it.

24. When a user files a pleading with the court, does the system automatically serve the other parties or does the user still have to serve copies on other parties?

ANSWER: A Notice of Electronic Filing is automatically generated. This notice includes information about what was filed, a hyperlink to the document, a hyperlink to the docket sheet, the docket text describing the document filed, the unique document stamp, and a list of the case participants who received e-mail copies of the notice. It also contains a list of those participants who did not receive e-mail copies. The filer will still have to serve copies upon anyone to whom service is required if that person did not get an e-mail notice.

25. Do the other parties just get notification of a filing or do they get the actual document?

ANSWER: The Notice of Electronic Filing sent to those listed as receiving e-mail notification, contains a hyperlink to the document. By clicking on the document number, the party can view the actual document that was filed and may save a copy to a computer drive or diskette in their office if they wish. They may also print out a paper copy of the document if they prefer.

26. To what extent will noticing be dependent upon a particular e-mail system?

ANSWER: The CM/ECF system is not dependent upon a particular e-mail system. It uses the standard features of Internet e-mail so that it can work with most of the great variety of e-mail systems that attorneys may have.

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

ANSWER: No.

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

ANSWER: No, court personnel would need to add new attorneys to the court attorney roll. It would then be necessary for the new attorney to receive training and obtain his/her own registered login and password in order to file any documents in their name in the case.

29. How will the US Trustee and panel trustees receive copies of the petition?

ANSWER: The systems department creates a .zip file every day that contains each petition that was assigned to a particular trustee 3 days earlier and then e-mails that .zip file to each panel trustee. They also create and forward a .zip file containing all the petitions filed 3 days earlier to the US Trustee’s office.

30. What should be done if the document you are filing is not listed in the “picklist” of documents?

ANSWER: During business hours, contact the filing helpdesk at 859-233-2608 Ext. 274, for help in choosing the best code to use when filing your document. After regular business hours, determine if a more generic code can be used. For example, a “Motion for Extension of Time to Complete Discovery” could be filed using the generic “Motion for Extension of Time” event. If there is not an event that appears to be useable, use “miscellaneous motion” to file a motion or “document” to file other documents. Then, contact the case manager the next morning to inform them of your solution. Court personnel can edit the docket text as needed and can advise you if a different event should have been used. In certain circumstances, court personnel may create a new event to enable the filing of your document.

31. How will proposed orders be submitted to the court?

ANSWER: Proposed orders will be submitted in .pdf format as attachments to the motion in the Bankruptcy Court for the EDKY. Please check the “Administrative Procedures Manual” (Section II C) on the court’s website at www.kyeb.uscourts.gov for further guidelines on submitting proposed orders.

32. What happens when an error is made (such as the wrong code used) during the electronic filing of a document?

ANSWER: Case administrators in the court will still be reading each document filed with the court and the docket entry will be reviewed as well during the quality control process. The same basic process will then be followed which is currently used when a mistake is found. This is sometimes a telephone call or letter to educate the filer on how it should have been filed or to clarify what the filer intended. Since parties are automatically noticed with the incorrect information, we cannot really edit the incorrect docket entry. Instead a “corrective entry” event is docketed to the case. This allows for the distribution of the correct information to the participants who originally received the erroneous information and may also specify what the filer needs to do to correct the deficiency.

33. Can a filer edit a docket entry?

ANSWER: Not really. During the filing process, but before transmitting, some events will allow the entry of “free text”. This allows the filer to type in extra details. A user can also sometimes use the browser’s “back” button to fix mistakes. Once the document has been sent to the court, only court personnel can revise the docket entry. Generally, a corrective entry, rather than a revision, will be made.

34. How will Proofs of Claim and their attachments be filed?

ANSWER: Proofs of Claim along with supporting documentation up to 50 pages in length will be filed together as one .pdf file. If the supporting evidence is greater than 50 pages in length, additional .pdf images up to 50 pages in length can be added as attachments.

35. Is there a special process to handle filing the same document in multiple cases?

ANSWER: Yes, CM/ECF has a “multi-case” feature. After selecting the appropriate event, the user will be able to enter or “paste in” multiple case numbers. Then, the application will prompt the user for the appropriate .pdf document to be attached to the event in each case. CM/ECF also has a special feature to allow batch docketing of asset and no-asset reports.

36. How will cases already in progress be handled?

ANSWER: In the USBC for the EDKY, as of May 2003, all pleadings filed in all cases (even older paper cases) must be filed electronically. The only exception is two old “Act” cases that are still open.

37. How will sealed records be handled?

ANSWER: Sealed records filed in the US Bankruptcy Court for the Eastern District of Kentucky will be handled almost identically to the present system. The Motion to File a Sealed Document would be filed electronically, but the actual document being sealed would be physically filed with the court in the same manner that they are currently filed. Our court will continue to store those documents in the same manner currently being used.

38. What if I need a certified copy of a document or a certified copy of the entire case record?

ANSWER: Currently, the court will have to print the document(s) and certify them in the same manner we used in the past. However, certification is intended to authenticate that a document is the official document and not an altered version. So, the long-term solution is to educate persons who presently require certified documents (sheriffs, banks, other courts) to view the documents directly by accessing the court’s database. This will eliminate the possibility of the presentation of fraudulent documents.

39. How does ECF affect Appeals?

ANSWER: Even though the US District Court for the Eastern District of Kentucky is “live” on CM/ECF, they have not yet directed any change to the current appeal process. The “Notice of Appeal”, any “Designations” filed will be electronically filed. However, those pleadings along with any documents listed in the designations would have to be printed and provided to the court following current procedures because the District Court is still requiring that a paper record be transmitted at this point.

40. Will ECF allow filing and docketing to closed cases?

ANSWER: Court staff will be able to file and docket in closed cases, if necessary. Other users will be able to file a “Motion to Reopen” in a closed case.

INFORMATION TECHNOLOGY QUESTIONS

41. What technical expertise is required in order to use CM/ECF?

ANSWER: The basic skills needed are familiarity with using a windows-type environment and familiarity with using a web browser. In order to file documents electronically, additional expertise is necessary. To file documents and automatically create docket entries, ability to convert documents to .pdf and .txt files, and training by the court regarding the use of CM/ECF categories and events will be necessary. Ability to scan documents will also be needed for those documents that are only available in paper format.

42. What hardware and software will users need to participate in ECF?

ANSWER: In order to electronically file, view and retrieve documents, you will need a computer equipped with:

ü Netscape browser version 4.6 or 4.7 (128 bit encryption recommended) or Internet Explorer version 5.5.

ü Windows 95 or higher, Macintosh, Linux or Solaris operating system with a minimum of 8 MB memory (32 MB recommended);

ü Adobe Acrobat 3.0 (full version, not just the Reader) or higher to convert documents from a word processor format to portable document format (PDF);

ü a PDF-compatible word processor like Macintosh or Windows-based versions of WordPerfect and Word;

ü a modem supporting a transfer rate of 28.8 kbs or higher (56 kbs recommended);

ü an e-mail service

ü Internet access; and

ü a scanner, if paper documents need to be imaged and sent to the court.

43. What software is needed to view .pdf files?

ANSWER: You need “Acrobat Reader” to view .pdf files. You can download “Acrobat Reader free from www.adobe.com.

44. What is Adobe Acrobat?

ANSWER: It is a commercial software package that enables you to save your document in .pdf format. As of July 2003, version 6.0 is available from retailers for approximately $150 (for an upgrade) up to $270 (for a new purchase).

45. Is ECF word processor specific?

ANSWER: No, you may use any word processor that creates documents that can be converted to .pdf.

46. Is ECF browser specific?

ANSWER: Yes, Version 2.2 of CM/ECF is compatible with Netscape Version 4.6 or Netscape Version 4.7 and Internet Explorer Version 5.5. In either case, your browser must be JavaScript-enabled.

47. How long will it take to transmit/receive lengthy documents?

ANSWER: The time it takes to transmit or receive a document depends primarily upon the user’s Internet Service Provider (ISP), the user’s modem speed, and the type of .pdf file being transmitted or received. A text .pdf file can be transmitted or received 15 to 20 times faster than a .pdf file created by the scanning of a paper document. Occasionally an ECF user may perceive the transmission time as slow. However, when compared to the time required to create, copy and deliver paper documents (via mail or hand delivery), plus the delay while court staff reviews and dockets the pleading, CM/ECF significantly reduces the time between pleading preparation and its inclusion in the case record.

48. How are electronic glitches such as the court’s computer or the filer’s computer being down handled?

ANSWER: As long as you have not waited until the last minute to file the document, a paper pleading, or a pleading on diskette could be delivered to the court together with a Motion for Permission that explained why the document could not be filed electronically. Even after-hours delivery can be arranged through the Clerk of Court. Whether to allow a late filing under any circumstances (whether computer related or not) is a decision that the judges would make on a case-by-case basis.

49. Does CM/ECF accept formats other than .pdf, such as .tiff?

ANSWER: No. CM/ECF accepts only documents in .pdf format. Portable Document Format was chosen because it is an open publishing standard, which preserves the author’s document content and format. It allows documents filed and later retrieved to display and print exactly as they looked to the original author. Portable Document Format can also be used with a variety of operating systems, which aren’t normally compatible, such as Windows, Linux, and iMac. It can also be used with most common word processors and spreadsheets. Both searchable text documents and imaged documents can easily be converted into .pdf format.

50. What if I have a document/physical exhibit that cannot be converted into .pdf format?

ANSWER: Any document/exhibit that can be scanned can be stored in .pdf format. However, if the document has oversized pages that your office scanner technology can’t handle or if the original is of such poor quality that the scanned image is unreadable, or if it is a physical exhibit, please follow the instructions in the Administrative Procedures Manual (Section II. D.). Even if your office scanner cannot scan the document, companies catering to
e-business such as Kinko’s should be contacted first to determine if their scanner equipment could produce a readable .pdf version of the document (in 8 ½ inch x 11 inch size) before the court is contacted. A docket entry will be entered stating that the document/physical exhibit is not available electronically with instructions on where a person will have to go to view the physical document.

51. May I scan my documents in color?

ANSWER: No, electronically filed documents must be submitted only in black and white in the US Bankruptcy Court for the Eastern District of Kentucky.

52. How can the document’s creator ensure that the printed draft of the document will match the .pdf version that will be filed?

ANSWER: There are 3 helpful tips: 1) set your printer driver to Adobe .PDF Writer before beginning work on the document that you expect to file electronically; 2) if revisions are being made based upon a printed copy, print the .pdf version, not the word processor version; and 3) make sure you are using the font(s) recommended by the US Bankruptcy Court for the Eastern District of Kentucky (Arial, Bookman Old Style, Century Gothic, Courier, Tahoma, or Times New Roman). This will help ensure, for example, that if you refer to a particular page of the document within the text of the document, your reference will still be correct after the document has been transmitted to the court. Additionally, it would be a good habit to always scroll through the document after you have converted it to .pdf format, but before you actually transmit it to the court to check things such as “Tables of Content”, page breaks, and page number references.

53. I used PDFWriter to generate a .pdf file and the image quality is poor. What can I do to improve the look of the .pdf image?

ANSWER: Try re-generating the .pdf file using PDFDistiller instead. The file size will be larger, but the quality should improve.

54. Can a full-text search be performed upon scanned .pdf documents filed in a case?

ANSWER: No, reliable and accurate full-text search capability is not possible on documents scanned (even those scanned using OCR technology), so CM/ECF does not offer a full-text search feature. It is unlikely that the courts will offer this service unless the results could be relied upon as being 100% reliable.

55. Are there guidelines on the relationship between the number of pages and the .pdf file size?

ANSWER: Portable Document Format text files average 2.5 Kb per page, with a range of 2 – 6 Kb. Portable Document Format image files average 65 Kb per page, with a range of 30 – 150 Kb. Appropriate calculations can be based on this per page average.

56. Are there guidelines on the relationship between the word processing file size and the .pdf file size?

ANSWER: A pdf text file (using the font(s) recommended by our court) is approximately 5 to 10% smaller than the corresponding WordPerfect or Word file. Non-standard fonts will significantly increase the size.

57. Are there guidelines on the relationship between the .pdf file size and the amount of time it takes to transmit and docket the entry at various Internet speeds?

ANSWER: Based upon the only study done so far, the average document size being filed in the courts currently using CM/ECF is 12 – 12 ½ pages. Using this average, the transmission of a .pdf text file takes less than 1 – 1 ½ minutes.

58. Are there guidelines on the relationship between the time it takes to scan a paper document, the dpi setting, and the file size?

ANSWER: A 100-page document that is scanned on a scanner rated at 30-45 pages per minute at a 600 dpi setting takes approximately 8 minutes and 50 seconds to scan. The .pdf file size will be approximately 13.94 MB.