ELECTRONIC CASE FILE (ECF)

GOT QUESTIONS???Write your questions down during the workshop on the white cards located on your table. These will be taken up and answered during the last 20 minutes of the workshop. Even if we are not able to get to them all, every question and answer will compiled and distributed statewide.

What is Electronic Case File (ECF)?

• ECF is an electronic file cabinet; a storage solution.

• KL Capture software is needed to “file” a document in ECF. This software is loaded to computers for those staff that need the ability to scan, index and release documents into ECF.

• ECF access is needed to search, view and print your documents. ECF is accessible through KOG (Kentucky Online Gateway) and specific screens in KASES.

Importance of ECF

Our world is changing…we’re moving from paper to electronic documents in many aspects of our lives. CSE is also moving in that direction. During our transition from paper to electronic files, we must live in both worlds until the courts accept electronic documents. The Administrative Offices of the Court is already moving to some electronic filing.

Every document and/or file you scan and index into ECF will make it easier for you to access documents for any case at any time or place. Can you imagine your job without stacks of documents that need to be filed in cabinets??? Scanning and indexing will become your new method of “filing”. Every document will be available right on your screen.

Are all scanners created equal?

There are two specific scanners that are compatible with the scanning and indexing software; The Fujitsu fi-7160 and the RICPAY scanners. You may try to use the copier/printer in your office to scan a document and then insert it into ECF. However, usually the document is saved in a PDF format on those machines and PDF is a larger format and causes the document to be over the 2MB size limit. Because of this, you may not be able to use your copier/printer for ECF purposes.

KL Capture Software

KL Capture software is added to machines for workers who will be scanning and indexing. The software captures your scanned images and enables you to index and release them into ECF. If you have this software you will see the following icon on your desktop:

KL Capture is accessible by clicking on the icon from your desktop – or – you may access from specific screens in KASES. These screens will be talked about in a moment.

Electronic Case File (ECF)

The Electronic Case File is storage for your documents. It is accessible through KOG – or – accessible from specific screens in KASES which will be discussed in the next screen.

Accessing KL Capture and ECF from KASES

• 02 Inquiry Functions, 01 Participant Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 02 Inquiry Functions, 02 Case Information, inputting a IV-D/MPI#, then selecting the line number of the participant (ASEQ2A)

• 03 Case Management, 06 Update Case/Participant Data, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEC2A)

• 03 Case Management, 06 Update Case/Participant Data, input a IV-D/MPI #, selecting the line number of the child (ASEPT1)

• 03 Case Management, 07 Inquiry Options, 02 Case Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 03 Case Management, 07 Inquiry Options, 01 Participant Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 05 Accounting Functions, 19 Case Summary Inquiry, input a IV-D # (ASEC6A)

Access Through KASES

Once you have accessed one of the required KASES Screens, you will notice in your KASES toolbar you have several options to launch the ECF application.

Access Through KASES

• Selecting the “Search” option will open the ECF Application search screen with documents listed for the MPI #/IVD # you launched from in KASES.

• Selecting the “CS” option will open the ECF Application to create a coversheet page with the MPI #/IVD # already populated.

• Selecting the “Scan” option from your KASES toolbar will open the KL Capture program to allow you to scan a document and will populate the IVD or MPI # of the case you are on when you index the documents.

Things you should know

• Documents may be a single page or multiple pages • Batches are groups of documents with separator

sheets that will be indexed NOTE:When setting up a new case in KASES, the documents associated with the new case will need to be held until the following day as KL Capture will not recognize the new IVD/MPI number due to batch processing.

Now that you know how to access ECF, let’s get started

Always turn on your scanner first.

Then access KL Capture.

Scanning…Click scan and the following box will appear - You will need to select what type of document you will be scanning. The first two choices are for standard black and white one-sided or two-sided documents. The next two are for one or two-sided color documents/pictures in which you would like to capture more detail, such as a driver’s license. It will not scan in full color, but will use a gray scale. Keep in mind that when using these last two options they use a great deal more space and will cause you to go over the 2 MB limit if the document is very large.

Quality Assurance

After all of your documents have been scanned, they will display on screen. Take this opportunity to review each document for quality and ensure it does not contain FTI information. Make sure it is readable and contains exactly the pages you want filed in ECF.

Indexing

If you determine that your document(s) is ready to file, click on the Index icon.

Indexing

An index panel will appear on the right of your screen. You will select if this document will be filed (indexed) by a IVD or MPI #, then enter the number. You will also select the category and sub-category where you would like the document to be stored. Enter the appropriate document date and if needed, add a comment that would assist you in finding the document when you later search for it. If you are scanning this document and are not the responsible worker, a notification will automatically be sent to the responsible worker. However, if notification does not need to be sent, you may click on the send notification box to uncheck it. If you scanned with a coversheet, you would only need to complete any of the above indexing values not contained on your coversheet. You may still change any metadata you would like on this screen even if a coversheet is used.

Indexing

• Once you have set/entered where you would like the document to be stored, then click Accept. If you have more than one document to index, you would assign index values to each and click accept after each.

• When all the documents have been indexed and accepted, a box will appear asking if you would like to release the batch - Click Yes.

Batch Window

To ensure that all batches you have scanned have been released to the repository, click on the KL Capture program menu, select Open Batch, then select All Document Classes. An Open Batch window will display and shows any batches (cache) that have not been indexed. If the document count is 0, then there are no documents contained in the batch and you may delete it.

Indexing from Batch Window

To index the documents shown here, you will need to highlight the batch and select open. Then follow the same procedures for indexing documents.

Inserting into KL Capture

To insert a page, click on the insert tab on your KL Capture toolbar. You will notice the toolbar is then broken down into a page section and a document section. You can insert from image, from window, or from office.

• To insert an image, click From Image. A popup box will appear for you to browse to find folder you would like to upload an image from. Once you have selected the image, highlight it, and click open. The image will then appear on your document viewer in KL Capture. You can capture any image from your file directory, including *.tif, *.tiff, *.jpg, *.jpeg, *.png, *.gif, *.bmp, and *.pdf images.

Inserting into KL Capture

• The From Window option lets you take a screen shot of the application you currently have open on your desktop. Select From Window, pick the application you have open, and KL Capture will take a quick screen shot of the application and it will display in your document viewer.

• The From Office option follows the same steps as the From Image option. A popup box will appear for you to browse to find the folder you would like to upload a page or document from. Highlight the document and select open. The document will then display in the document viewer. The Microsoft Office document is captured as an image which will convert to a TIFF format. Documents that can be captured include *.doc, *.docx, *.xls, *.xlsx, *.msg, *.ppt, and *.pptx.

Merge Documents

KL Capture provides the capability to merge multiple documents. To put two separate documents together after they have been scanned, click on the Document 1 header so it’s highlighted then press the CTRL key on your keyboard. Click Document 2 or the document you want to merge with Document 1 so that both document titles are highlighted. Right click and you should see the option to merge Document 2 into Document 1.

ECF Home Screen

NotificationsWhen you access the landing page of ECF, you will see your welcome back message and also a My Notifications page. My Notifications will let you know when another worker has scanned and indexed a document to an MPI or IVD where you are designated as the responsible worker in KASES. The notification will show the Document ID, IVD/MPI, Category, Subcategory, Document Date, the Caseworker Number of the person who indexed the document, and a select all feature to delete the notifications.

ECF Home Screen

Searching in ECFFrom the ECF landing page click on the Search tab and you will be directed to the search function. You can choose to search case level documents, participant level documents, or a specific document if you have the Document ID number.

Results Grid IconsView document and it’s indexing values

Click to associate this document to another.

You may associate up to 15 documents

Staff with “CORT” role may download documents and save it to their computer to be used in Court. This is available by request and only as needed in court when internet is not available.

Click to capture the document ID – for use with associating a document.

Search Grid

Radio buttons on the results grid will show all related IVD numbers associated when searching by an MPI and if searching by IVD number will show radio buttons for all MPI’s associated. This gives you a shortcut to view documents stored under the IVD or MPI’s shown.

Cover Sheet

• A coversheet is used as the first sheet when you are scanning a batch of documents. Turn the coversheet so that the barcode scans first.

• You can be creative in using coversheets to help you save time. A good

example is when you have a stack of the same form/document but for different cases – complete the coversheet for index values that will be the same, such as the category and sub-category and include the date if it will be the same for the entire group of documents. Put a separator sheet between each document. When you begin indexing these documents the only value left to enter is the IVD/MPI # for each document.

• You can also create a coversheet with just the IVD # on it and store in the file. When you return from court, pull the coversheet from the file and then you just need to enter category, sub category, date and docket number.

Cover Sheet

• Index values can be changed. If a document gets into a batch with a coversheet for a different IVD#, no problem, just enter the correct IVD# in the index field for that document.

• Coversheets are not required to be used. If you only have

one or two documents it may take more time to prepare a coversheet than just indexing each one on your own. So before you create a coversheet decide if it will help save you time and effort, and if so, in what way.

Separator Sheets

• A separator sheet contains only a barcode which tells the scanner it’s the end of a document.

• Create and print about 20 separator sheets, more if needed. Put these in a file or tray on your desk so they are ready as you need them. They are reusable. DO NOT make copies of them as it can skew the barcode and the scanner won’t recognize it as the end of the document.

ECF Reports

These are “on demand” reports for supervisory level staff with RPTS role.

To access reports, click on the reports tab in ECF. The two types of reports available are: • Audit Report provides actions performed by users within a selected

date range; and • Running Count Report provides action type(s) performed by State,

Region, and Regional Office, Central Office, County and Individual within a selected date range.

Document status

Document status includes: • ARCV Archived case – ECF status is updated when a case

in KASES is updated to archive. Documents in ARCV status are viewable. An archived document can be moved to a new case by editing and entering the IVD # you would like it to be moved to.

NOTE: IVD level documents will purge in ECF 15 years after the archive date. MPI level documents will never purge.

• NLV No Longer Valid status can be given to a document.

• ASSC Document is associated with another document(s).

Document No Longer Valid (NLV)

If you have a document that is no longer valid (signature missing, etc.) click view icon , then click on “Edit”. You will then see the NLV with a box to be clicked when document is no longer valid.

Associate Documents

• To associate documents is the same as an electronic staple between two or more documents.

• Once you have searched for the documents you want to associate, click the capture icon to copy the document ID. Click the associate icon to be taken to the associate page.

Associate Documents

The primary ID should be the document ID of the document you are viewing. The secondary ID field should be blank. This is where you will click paste to input the document ID of the document you want to associate.

Associate Documents

Once you have pasted the document ID, click the Add button to associate the two documents together.

You will now notice the status of the document has an ASSC status which indicates this document is associated with another document.

Disassociate Documents

To disassociate the document, you will search for and view the document, click the associate icon , then select the check box beside the document and click the disassociate button.

Adding a document to additional IVD’s or MPI’s

If you have a document that is in the repository and it needs to be in more than one case or MPI#:• In ECF, search for the document and click view.

• Click on the “Add IV-D’s or MPI’s and a new

box will appear. In the box, enter the IVD’s or MPI’s that you would like the document to be added with a comma between each.

Printing Tips

• CSE requires ECF to insert the RACF-ID, date and time printed as a header. The browser may also insert header & footer print information such as the URL, page numbers and/or other data with which the user can control. To remove the browser’s header & footer information –

• Select: File• Select: Page setup– Change the settings for page setup for the header and

footer options to ‘Empty’.

To Delete a Batch while in KL Capture

Deleting a batch removes all documents and pages in that batch and cannot be undone.

To delete the currently opened batch: • Click Capture Program Menu. • Click Delete Batch. • Verify to complete action.

To Delete a Document in ECF

When a document needs to be deleted from ECF, email your request to Lynn Skelton, Loretta Dawson or Maria Lewis. The request must contain the following: • Purpose of deleting document• Document ID• MPI or IVD Number• Category• Subcategory• Document Date• A screenshot of the view document screen showing the first page of the

document and the document properties to the right of the screen.

Using Snipping Tool to capture screenshot

• Click on , located in the lower left- hand corner of your screen. Then click on accessories and you will find snipping tool in the list.

• The Snipping Tool has three buttons: New, Cancel and Options.

Using Snipping Tool to capture screenshot

The New button allows you to select the type of screenshot you want to take. The easiest to use is Rectangular Snip. The Cancel button allows you to cancel the current action. The Options button allows you to customize different aspects of the application.

Using Snipping Tool to capture screenshot

Click in the left top corner of where you would like to start copying the image and drag to the lower right hand corner. The snipping tool will copy your image into a new window with the following options:

Click on copy – then go to your email request and click paste.

ECF Roles

The Electronic Case File is like all applications we use. We have access based on a role we are assigned as outlined below: • VIEW allows a user to search, view document properties and associations,

print and email to other internal users. • SCAN includes view access outlined above and allows a user to scan, insert

and index documents as well as create coversheets and separator sheets. The Scan role also allows a user to edit document properties and associate/disassociate documents.

• ECF Administrator includes view access and allows user to delete documents when needed.

• Technical Administrator includes view, scan and ECF Administrator accesses. • CORT includes view access and allows a user to download document(s) for

use in court when internet is not available. • RPTS includes view access and allows user to generate ECF reports. This role

is assigned to executive staff/managers/supervisors.

When and How to Get Started

If you are wondering when and how to start, maybe this will help…

• First and foremost, you will want to keep your hardcopy files until ECF is available in the courtroom and all case related documents are scanned into ECF.

When and How to Get Started

What a better place to start than with the case you are working. Each case you handle today, scan the documents you have relating to that file. Write “ECF” in the top corner so you will know you have scanned it into ECF if it is a document you need to keep (such as an original for court).

If you have a few extra minutes, go ahead and scan all the documents in the file. Again, if it is a document that you will need to have the original for court, such as certified orders and pay records, be sure to keep it, otherwise you can toss the documents. After you have completed an entire file, write ECF on the outside of the file so you’ll know that the entire file has been scanned and indexed into ECF.

When and How to Get StartedTo scan an entire file you’ll want to review and prepare your documents – • Remove all staples, paper clips, binder clips and post

it notes • Destroy duplicate documents• Destroy documents no longer needed• Arrange documents by category (all orders together,

correspondence, etc.)• Place a separator sheet between each document• Create a coversheet with the IVD #Remember, do not “file” anything with FTI data in ECF.

Know your FTI…02.100 Safeguarding Federal Tax Information (FTI)• As a condition of receiving federal tax information (FTI) from the Internal

Revenue Service (IRS), CSE must protect the information pursuant to the Internal Revenue Code (IRC) Section 6103(p)(4). IRS Publication 1075 provides the security guidelines for handling FTI.

FTI is any tax return or return information that contains personally identifiable information received directly from the IRS or secondary source, such as OCSE and the Social Security Administration (SSA).

• The most common examples of FTI that CSE receives are the amount of the tax refund and the address of the individual that filed the return. FTI is not tax information provided to CSE directly from the custodial or noncustodial parent.

If staff have any questions about the FTI safeguarding requirements, contact CSE Security Officer, Gavin Sewell, by email at gavin.sewell@ky.gov or telephone at (502) 564-2285, extension 4840.