#AIIM14	
  #AIIM14	
  
#AIIM14	
  
Public	
  Records	
  –	
  Private	
  Purposes	
  
Access	
  to	
  Judicial	
  Records	
...
#AIIM14	
  
Why	
  an	
  Open	
  Judiciary?	
  	
  
§  To	
  ensure	
  that	
  proceedings	
  are	
  fair	
  	
  
§  To	...
#AIIM14	
  
A	
  Court	
  Records	
  Timeline	
  
The	
  Paper	
  Age	
  	
  
Through	
  the	
  
1970s	
  court	
  
record...
#AIIM14	
  
	
  Document	
  Imaging	
  PracBces	
  
§  Preserve	
  and	
  archive	
  legacy	
  documents	
  	
  
§  Publ...
#AIIM14	
  
The	
  Court	
  InformaBon	
  Mine	
  
§  Felony	
  and	
  misdemeanor	
  	
  	
  
§  Non-­‐criminal	
  traffi...
www.aiim.org/infochaos	
  
Do	
  YOU	
  understand	
  the	
  business	
  	
  
challenge	
  of	
  the	
  next	
  10	
  year...
#AIIM14	
  
Commercial	
  Uses	
  of	
  Court	
  Records	
  
§  Employment	
  background	
  inves;ga;ons	
  	
  
§  Crim...
#AIIM14	
  
Criminal	
  Background	
  Checks	
  
§  An	
  es;mated	
  65	
  million	
  people	
  have	
  criminal	
  
rec...
#AIIM14	
  
Court	
  Files	
  May	
  Be…	
  	
  
§  Fully	
  public	
  	
  	
  
§  Public	
  with	
  nonpublic,	
  priva...
#AIIM14	
  
§  FOI	
  does	
  not	
  apply,	
  	
  most	
  case	
  
	
  informa;on	
  is	
  fully	
  public	
  	
  
§  B...
#AIIM14	
  
Non-­‐Public	
  Records	
  	
  
§  Juvenile	
  records	
  	
  
§  Adop;on	
  records	
  	
  
§  Presentence...
#AIIM14	
  
Accessing	
  State	
  Court	
  Records	
  
“Access	
  to	
  court	
  records	
  is	
  determined	
  on	
  a	
 ...
#AIIM14	
  
What’s	
  Different	
  Today	
  
§  Decreasing	
  costs	
  of	
  storage	
  	
  
§  Increasing	
  demand	
  f...
#AIIM14	
  
US	
  Courts	
  PACER	
  System	
  
§  25	
  years	
  in	
  opera;on,	
  e-­‐filing	
  started	
  in	
  2002	
...
#AIIM14	
  
The	
  Balance	
  	
  
§  Individual	
  privacy,	
  confiden;ality,	
  security	
  	
  
§  Copyright,	
  data...
#AIIM14	
  
Fair	
  Credit	
  ReporBng	
  Act	
  
Places	
  ObligaBons	
  on	
  Commercial	
  Vendors	
  	
  
§  Generall...
#AIIM14	
  
The	
  Challenges	
  	
  
§  Legacy	
  documents	
  may	
  predate	
  informa;on	
  
protec;on	
  legisla;on	...
#AIIM14	
  
Problems	
  with	
  Consistency	
  
§  Reten;on	
  periods	
  vary	
  across	
  states	
  	
  
§  Local	
  p...
#AIIM14	
  
Concerns	
  with	
  Commercial	
  Use	
  	
  
§  Inaccuracies	
  (upon	
  receipt	
  or	
  publica;on)	
  	
 ...
#AIIM14	
  
This	
  Could	
  be	
  Your	
  Lucky	
  Day!	
  
#AIIM14	
  
Look	
  What	
  I	
  Found!	
  
Donkers	
  	
  v.	
  Calandro	
  et	
  al	
  
MICHIGAN	
  EASTERN	
  DISTRICT	...
#AIIM14	
  
Different	
  PerspecBves	
  
§  Paper	
  and	
  electronic	
  records	
  should	
  be	
  
treated	
  the	
  sa...
#AIIM14	
  
Responsibility	
  for	
  RedacBon	
  
§  Duty	
  for	
  iden;fica;on	
  and	
  redac;on	
  rests	
  
with	
  fi...
#AIIM14	
  
Are	
  More	
  Controls	
  Needed??	
  
§  “Cer;fica;on”	
  of	
  reques;ng	
  en;;es	
  or	
  
individuals	
 ...
#AIIM14	
  
Criminal	
  Background	
  Issues	
  
§  What	
  right	
  or	
  redress	
  do	
  individuals	
  accused	
  or	...
#AIIM14	
  
Unanswered	
  QuesBons	
  
§  What	
  is	
  the	
  cost	
  of	
  enhanced	
  public	
  access?	
  
§  Does	
...
#AIIM14	
  
Who	
  Should	
  Pay?	
  
§  Many	
  courts	
  charge	
  fees	
  without	
  conduc;ng	
  a	
  cost	
  
assess...
#AIIM14	
  
How	
  Long	
  is	
  Too	
  Long?	
  
§  Should	
  there	
  be	
  increased	
  obliga;ons	
  for	
  data	
  
...
#AIIM14	
  
Digital	
  Rights	
  Management	
  	
  
§  Restrict	
  who	
  can	
  read	
  or	
  has	
  rights	
  to	
  a	
...
#AIIM14	
  
The	
  Future…	
  	
  
§  Disappearance	
  of	
  paper	
  records	
  systems	
  	
  	
  
§  More	
  demand	
...
www.aiim.org/infochaos	
  
Do	
  YOU	
  understand	
  the	
  business	
  	
  
challenge	
  of	
  the	
  next	
  10	
  year...
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Public Records, Private Purposes

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Courts are rapidly becoming a gold mine of information for private companies that re-sell case information for such purposes as credit, criminal record, and rental history checks. This session will address issues surrounding the use of court information for public purposes, including what information should be available to non-parties, who is responsible for ensuring its accuracy, whether courts should charge for access and on what basis, and how long information should be available?

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Public Records, Private Purposes

  1. 1. #AIIM14  #AIIM14   #AIIM14   Public  Records  –  Private  Purposes   Access  to  Judicial  Records  in  an  Electronic  World     Nial  Raaen,  CRM   Principal  Court  Management  Consultant     Na;onal  Center  for  State  Courts     nraaen@ncsc.org    
  2. 2. #AIIM14   Why  an  Open  Judiciary?     §  To  ensure  that  proceedings  are  fair     §  To  monitor  and  hold  courts  accountable     §  A  forum  for  public  concerns  about  crime     §  Public  educa;on  about  the  judiciary     §  Promote  more  ac;ve  ci;zen  par;cipa;on    
  3. 3. #AIIM14   A  Court  Records  Timeline   The  Paper  Age     Through  the   1970s  court   records  are   paper-­‐based   and   “prac;cally   obscure”     The  Database  Age     1980s  –  1990s   Introduc;on  of   case   management   database   systems  makes   records  more   available     The  Digital  Document  Age     2000s  on..   Expanding   use  of  digital   imaging     coupled  with   database   systems  
  4. 4. #AIIM14    Document  Imaging  PracBces   §  Preserve  and  archive  legacy  documents     §  Public  access  to  legacy  documents     §  Back-­‐file  and  scan-­‐on-­‐demand  approaches     §  Scan  forward  for  improved  workflow  and   access,  paper-­‐on-­‐demand     §  Imaging  has  complicated  the  picture    
  5. 5. #AIIM14   The  Court  InformaBon  Mine   §  Felony  and  misdemeanor       §  Non-­‐criminal  traffic     §  General  civil    &  small  claims     §  Landlord-­‐tenant     §  Protec;on  orders     §  Divorce  and  custody    
  6. 6. www.aiim.org/infochaos   Do  YOU  understand  the  business     challenge  of  the  next  10  years?   This  ebook  from  AIIM  President   John  Mancini  explains.  
  7. 7. #AIIM14   Commercial  Uses  of  Court  Records   §  Employment  background  inves;ga;ons     §  Criminal  history     §  Outstanding  civil  judgments     §  Credit  ra;ng       §  Renter  background  checks     §  Legal  research  services       §  “Pay  for  view”  pos;ngs  
  8. 8. #AIIM14   Criminal  Background  Checks   §  An  es;mated  65  million  people  have  criminal   records  (Na;onal  Employment  Law  Project)     §  87%  of  employers  conduct  background  checks   (Society  for  Human  Resource  Management)      
  9. 9. #AIIM14   Court  Files  May  Be…     §  Fully  public       §  Public  with  nonpublic,  private  or  sensi;ve   documents  or  informa;on  contained  within   the  file     §  Ordered  closed  at  a  later  stage     §  Fully  non-­‐public    
  10. 10. #AIIM14   §  FOI  does  not  apply,    most  case    informa;on  is  fully  public     §  But  restric;ons  include:   §  Case  types  are  confiden;al  (adop;ons,  juvenile)   §  Specific  informa;on  is  non-­‐public  (vic;m  info.)   §  Access  policies  vary  across  the  country    
  11. 11. #AIIM14   Non-­‐Public  Records     §  Juvenile  records     §  Adop;on  records     §  Presentence  reports     §  Grand  jury  records     §  Medical  and  psychiatric  treatment  records     §  Proprietary  business  informa;on  …  and  more  
  12. 12. #AIIM14   Accessing  State  Court  Records   “Access  to  court  records  is  determined  on  a   discre;onary  basis  on  the  basis  of  interpreta;on   of  rules  of  the  court…anecdotal  evidence  would   suggest  that  there  are  significant  varia;ons  in  the   extent  to  which  court  documents…are  made   generally  accessible”         (Philip  Leith/Maeve  McDonagh,  New  Technology  and  Researchers’  Access  to  Court  and  Tribunal  Informa;on)  
  13. 13. #AIIM14   What’s  Different  Today   §  Decreasing  costs  of  storage     §  Increasing  demand  for  electronic  access     §  Business  opportuni;es  created  by  data  access   §  Ease  of  distribu;on     §  Increasingly  sophis;cated  search  engines   §  Data  manipula;on  tools      
  14. 14. #AIIM14   US  Courts  PACER  System   §  25  years  in  opera;on,  e-­‐filing  started  in  2002   §  Includes  case  and  document  management   system  access  pursuant  to  2007  rules     §  Fee  based,  requires  sekng  up  an  account     §  500  million  documents,  available  upon  filing   §  Filer  must  redact,  some  pre-­‐2003  documents   not  available  
  15. 15. #AIIM14   The  Balance     §  Individual  privacy,  confiden;ality,  security     §  Copyright,  data  protec;on,  commercial  interests   vs.     §  Judicial  transparency     §  Public  right  to  know       §  Economic  benefits    
  16. 16. #AIIM14   Fair  Credit  ReporBng  Act   Places  ObligaBons  on  Commercial  Vendors     §  Generally,  can’t  report  arrests  more  than  7  years  old     §  Use  “reasonable  procedures”  to  insure  “maximum   possible  accuracy”     §  Special  rule  when  public  record  informa;on  is   reported  for  employment  purposes  (concurrent   no;ce  or  strict  procedures  to  be  complete/current)  
  17. 17. #AIIM14   The  Challenges     §  Legacy  documents  may  predate  informa;on   protec;on  legisla;on     §  Interpre;ng  terminology  and  abbrevia;ons     §  Reliability  of  redac;on  techniques  and  technology   for  born-­‐digital  records     §  Correc;ng/upda;ng  disposi;ons   §  Guaranteeing  authen;city    
  18. 18. #AIIM14   Problems  with  Consistency   §  Reten;on  periods  vary  across  states     §  Local  prac;ces  for  destruc;on  are  inconsistent   §  Responsibility  for  redac;on  and  informa;on   protec;on  is  locally  determined  in  some   states   §  Terminology  may  be  jurisdic;on-­‐specific  
  19. 19. #AIIM14   Concerns  with  Commercial  Use     §  Inaccuracies  (upon  receipt  or  publica;on)     §  Problems  with  individual  iden;ty     §  Repor;ng  of  obsolete  arrests     §  Mul;ple  repor;ng  of  single  case/incident     §  Not  excluding  expunged  cases     §  Not  upda;ng  judgments/disposi;ons    
  20. 20. #AIIM14   This  Could  be  Your  Lucky  Day!  
  21. 21. #AIIM14   Look  What  I  Found!   Donkers    v.  Calandro  et  al   MICHIGAN  EASTERN  DISTRICT  COURT   Nature  of  Suit:  440  Civil  Rights  -­‐  Other   Case  No.  4:05-­‐cv-­‐40058   Defendants   William  Leo  Cahalan        David  J.  Calandro   John  Doe        John  D.  Ferry  Jr.   Daniel  Flanagan      Deborah  L.  E.  Green   Dawn  A.  Monk      Nial  Raaen   Joseph  A.  Schewe      Alan  E.  Skrok   State  Court  Administra;ve  Office     Show  More     PlainBff      Christopher  James  Donkers  
  22. 22. #AIIM14   Different  PerspecBves   §  Paper  and  electronic  records  should  be   treated  the  same  for  access  purposes  and   open  to  all     §  Electronic  records  access  should  be  limited  to   the  courthouse  and  registered  par;es,  not   rou;nely  disseminated  for  public  viewing    
  23. 23. #AIIM14   Responsibility  for  RedacBon   §  Duty  for  iden;fica;on  and  redac;on  rests   with  filers    (federal  model)   §  Duty  rests  with  court  staff  to  redact   informa;on  and  control  release    (Florida  model)  
  24. 24. #AIIM14   Are  More  Controls  Needed??   §  “Cer;fica;on”  of  reques;ng  en;;es  or   individuals  reques;ng  bulk  data?   §  Regula;on  or  limita;on  of  data  re-­‐use?     §  Increased  third  party  liability  for  upda;ng?   §  Required  subscrip;on  to  regular  updates?     §  “Inten;onal  obscurity”?    
  25. 25. #AIIM14   Criminal  Background  Issues   §  What  right  or  redress  do  individuals  accused  or   convicted  of  crimes  have  to  ensure  accuracy  of  the   records?     §  What  is  the  impact  on  the  privacy  rights  of  criminal   defendants?     §  Will  vic;ms  and  witnesses  be  assured  that  their   privacy  interests  are  accounted  for?  
  26. 26. #AIIM14   Unanswered  QuesBons   §  What  is  the  cost  of  enhanced  public  access?   §  Does  enhanced  access  compromise  public  safety?  
  27. 27. #AIIM14   Who  Should  Pay?   §  Many  courts  charge  fees  without  conduc;ng  a  cost   assessment     §  Should  courts  profit  from  access  fees?     §  Should  access  fees  be  dedicated  for  technology,   privacy  controls?       §  Do  different  charging  structures  impact  the  kinds  of   documents  courts  make  available  and  their  formats?     §  Should  intended  use  be  a  basis  for  sekng  the  fees?  
  28. 28. #AIIM14   How  Long  is  Too  Long?   §  Should  there  be  increased  obliga;ons  for  data   collectors  to  “sunset”  informa;on?     §  Should  a  “right  to  forget”  be  created?   §  Who  would  have  the  duty  to  remove  records   to  protect  a  “right  to  forget”?         §  Should  court  record  reten;on  periods  be   revised?    
  29. 29. #AIIM14   Digital  Rights  Management     §  Restrict  who  can  read  or  has  rights  to  a  document     §  Restrict  how  long  a  document  is  available     §  Restrict  prin;ng  and  forwarding     §  Require  logging  onto  a  specific  network  for  access     §  Is  user  registra;on/tracking  a  privacy  issue?   §  Is  this  a  prac;cal  op;on  in  the  long  run??  
  30. 30. #AIIM14   The  Future…     §  Disappearance  of  paper  records  systems       §  More  demand  for  digital  audio/video  recordings   of  court  proceedings     §  Embedded  video  and  audio  files  will  become   part  of  the  “court  record”     §  Reten;on  periods  need  to  be  reconsidered  
  31. 31. www.aiim.org/infochaos   Do  YOU  understand  the  business     challenge  of  the  next  10  years?   This  ebook  from  AIIM  President   John  Mancini  explains.  
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