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 7th
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 7th 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.