Source: https://patents.google.com/patent/US20030028782A1/en
Timestamp: 2018-06-21 11:21:44
Document Index: 612212539

Matched Legal Cases: ['arty1', 'arty2', 'arty3', 'arty1', 'arty3', 'arty1', 'arty3', 'arty 1', 'arty 2', 'arty 1', 'art 2000']

US20030028782A1 - System and method for facilitating initiation and disposition of proceedings online within an access controlled environment - Google Patents
System and method for facilitating initiation and disposition of proceedings online within an access controlled environment Download PDF
US20030028782A1
US20030028782A1 US10136689 US13668902A US2003028782A1 US 20030028782 A1 US20030028782 A1 US 20030028782A1 US 10136689 US10136689 US 10136689 US 13668902 A US13668902 A US 13668902A US 2003028782 A1 US2003028782 A1 US 2003028782A1
US10136689
System and method for facilitating initiation and disposition of an online motion (e.g., a motion filed and processed within the context of a legal proceeding, etc.) within an access controlled environment within the context of a court proceeding. The system and method include and involve an access control facility accessible via a global data processing network and configured to maintain user information, and to permit or deny a user to enter an access controlled environment within a data processing environment and to perform user operations within the access controlled environment related to the online motion. A transaction management facility is operable within the access controlled environment and is coupled to the access control facility, and is configured to store and maintain transaction data based on online motion, the user operations, and a security scheme. An authentication facility is operable within the access controlled environment and is configured to authenticate the transaction data based on an authentication scheme corresponding to the online motion. The transaction management facility, the access control facility, and the authentication facility operate together to facilitate disposition of the online motion.
The instant patent document is a continuation-in-part patent application of U.S. patent application Ser. No. 09/718,097 filed on Nov. 22, 2000, which application is entitled “SYSTEM AND METHOD FOR FACILITATING TRANSACTION PROCESSING AND DISPOSITION WITHIN AN ACCESS CONTROLLED ENVIRONMENT VIA A GLOBAL NETWORK SUCH AS THE INTERNET,” is pending before the U.S. Patent and Trademark Office, and is hereby incorporated by reference.
The present invention relates to systems and methods used to manage and process documents and other data that require various levels of security and authentication as they are exchanged among multiple parties in the context of legal proceedings, commercial transaction, business negotiations and other similar interactions.
For example, at its popular inception in the mid-1990s, the Internet merely provided a network of information presentation and publication sites (web sites) at which site operators presented early network users with the ability to obtain mainly textual type information about an organization or about a product or service. Early web sites were often modeled after paper-based company and product brochures that contained pages of textual type material—hence the name “web page.” In other words, the early popular Internet was a content publishing vehicle that promoted the more efficient dissemination, publication and distribution of textual and visual information. Although widely accepted as an improved method providing information, at this stage of development, the Internet did nothing more than facilitate the distribution of information. Users of the Internet were still left to rely on old world techniques for transacting their business and conducting their affairs.
In terms of communication, the Internet has lent its hand developing new and improved methods of communication, especially in recent years. For example, e-mail existed prior the popular inception of the Internet. Prior e-mail system utilized technologies such as EDI and other private networking technologies. These prior e-mail systems allowed limited communication only to a select group of subscribers, such as employees within a company. Now, the Internet allows e-mail subscribers to communicate with individuals outside of their private networks and virtually with anyone who has access to the Internet. The availability of e-mail over the Internet has made e-mail an incredibly popular means of communication. In fact, one could say that e-mail over the Internet has transcended communication. By providing a simple, inexpensive means of communicating to nearly anybody on the planet, e-mail has changed the way people communicate and increased the frequency of communications. However, e-mail systems are not without their shortcomings. For example, e-mail system are not regarded as entirely secure and do not provide sophisticated authentication of users and messages. Thus, e-mail may not be an appropriate vehicle for facilitation of many types of transactions.
A second communication technique that has substantially increased in popularity because of the Internet is instant messaging. Instant messaging services have existed for at least 16 years as a means for private, peer to peer communications over a network in near real-time. These services typically require a two active clients on the same network and allow users to send and receive messages directly from one another. Similar to the Internet's influence on e-mail, the Internet's wide availability has made instant messaging services on the Internet an extremely popular means for communicating. Also, like e-mail systems, instant messaging services do not provide sophisticated levels of security and authentication. Furthermore, instant messaging services require active clients in order to communicate, which means that if the proposed recipient of a message is not logged onto an instant messaging service, the message cannot be delivered. Thus, instant messaging services can be characterized as merely an alternative to the telephone.
In sum, the aforementioned deficiencies of the current Internet provide facilitation of certain versions of transaction (e.g., an inter-parties transaction, etc.) processing and disposition impossible or highly inefficient. Although very capable of facilitating and changing conventional purchase and sale transactions, of facilitating direct access between a user and his own personal data stored by a web-enabled server system as in the case of online banking, the current Internet cannot facilitate transaction processing and disposition that involves multiple parties and which requires customizable levels of security for party access to transactions processes and for document and data validity and authenticity. And, in addition to the deficiencies of the current Internet to facilitate transaction processing and disposition, others have not been able to modify or otherwise incorporate prior, legacy systems such as those used in fields of Electronic Data Interchange, Data Post and Notify Systems, and Electronic Messaging to name a few, into the current Internet. In essence, providers attempting to incorporate such legacy systems will face producing systems which become highly fragmented due the disparity of the systems used by parties and others (e.g., Courts, Agencies, etc.). In fact, no single entity has heretofore built an infrastructure that truly and squarely addresses and solves the aforementioned problems.
Thus, there exists a serious need for new and improved systems which will permit Internet systems and technologies to evolve to permit network users to engage in online processes that facilitate disposition of transactions and disputes occurring in the non-online world. Such new and improved systems must be easily configurable to facilitate transaction processing and disposition based on the very nature of the multitude of transactions that take place (e.g., inter-parties transactions, ex-parte proceedings, etc.). To be viable, such new and improved systems must interface with legacy systems to facilitate wide acceptance and use without disrupting or drastically changing the ways people transact their business and carry out their affairs.
The present invention solves the aforementioned problems and provides such new and improved systems and methods for facilitating transaction processing and disposition via a global network such as the Internet which are discussed in detail below.
The present invention addresses the aforementioned limitations and deficiencies of the current state of the Internet to solve the above-described problems and provides new and improved systems and methods that facilitate transaction processing and disposition within an access controlled environment. The present invention takes advantages of open-standards based technologies and combines and improves upon the same to permit multiple parties to a transaction such as a lawsuit or other dispute to more efficiently communicate with each other, share information related to their transaction, communicate with decision makers directly, and obtain access to tools (e.g., settlement analytical tool, etc.) and services (e.g., expert referral services, court reporting services, document production services, etc.) that help them make better informed decisions—all without requiring such parties to leave their desks and without requiring costly, inefficient court or other similar appearances. And since transaction communications occur within an access controlled environment in which security may be based on user-defined levels of security, parties are assured of confidentiality, validity of stored data, and authenticity based on standards for the same. Now, parties to transactions may seek final resolution and settlement of their affairs online and via the Internet. In sum, the present invention creates a specialized network linking clients and related parties, attorneys, insurers, decision makers such as Judges, arbitrators, and mediators, and service providers that facilitates transaction processing and disposition online.
Certain key benefits are provided to parties as a result of the present invention. For example, litigation type transactions can now be brought to conclusion much faster and more cost effectively than conventional courthouse processing. Parties to deal type transactions (e.g., contracting arrangements, due diligence operations, etc.) close faster and more cost effectively as parties to such transactions can have faster access to deal documentation through use of centralized work and storage spaces. Parties to transactions can realize improved results for settlement and negotiations as settlement analytical tools and other resources are centrally available and readily accessible within a secure access controlled environment. In-house (company) counsel often responsible for overseeing outside counsel in the context of lawsuits, for example, now have improved systems for monitoring the costs associated with outside counsel operations, for communicating and sharing information with outside counsel, and for providing access to libraries of information and documents (e.g., forms libraries, etc.) thus resulting in ultimate cost savings. And, in terms of attorney-client relationships that are fully supported within the present invention, clients are assured of more efficient representation and expected levels of confidentiality.
The present invention solves the problems mentioned above in the background section of this patent document and delivers the benefits stated herein by providing a system and method for facilitating processing and disposition of a transaction (e.g., a dispute, lawsuit, components of the same, etc.) within an access controlled environment. The system and method include and involve an access control facility, a transaction management facility, an authentication facility and a billing facility. The access control facility is accessible via a global data processing network and configured to maintain user information, and to permit or deny a user to enter an access controlled environment within a data processing environment and to perform user operations within the access controlled environment. The transaction management facility is operable within the access controlled environment, is coupled to the access control facility, and is configured to store and maintain transaction data based on the transaction, the user operations, and a security scheme. The authentication facility is operable within the access controlled environment and is configured to authenticate the transaction data based on an authentication scheme (e.g., rules of evidence, etc.) corresponding to the transaction. The billing facility is configured to consolidate data related to internal operations (e.g., modifying transaction data, making decisions based on the transaction data, etc.) performed by the access control facility, the transaction management facility, and the authentication facility to generate and process billing data and to send a billing notice to a responsible party via the global data processing network.
The present invention also provides embodiments of systems and methods for facilitating transaction processing and disposition within an access controlled environment that include and involve an access control facility, a transaction management facility, an authentication facility, a connectivity and communications facility, and a billing facility. The access control facility is accessible via a global data processing network and configured to maintain user information and to permit or deny users to login into an access controlled environment maintained within a data processing environment. The user information includes a profile relating to each user and each profile includes a user-specific level of security. The transaction management facility is operable within the access controlled environment, is coupled to said access control facility, and is configured to store and maintain data related to a transaction involving at least one of the users based on a predetermined security level to facilitate disposition of the transaction within the access controlled environment, and to determine accessibility related to the data for each user based on each user's profile. The authentication facility is operable within the access controlled environment and configured to authenticate the data related to the transaction based on a predetermined authentication level set to correspond to the transaction. The connectivity and communications facility is coupled to the access control facility, the transaction management facility, and the authentication facility. The connectivity and communications facility is configured to communicate (transfer data, send messages, emails, etc.) with the access control facility, the transaction management facility, the authentication facility, and external transaction party systems to facilitate disposition of the transaction based on the data stored and maintained by the transaction management facility. The billing facility is configured to consolidate data related to internal operations performed by the access control facility, the transaction management facility, and the authentication facility to generate and process billing data and to send a billing notice to a responsible party via said global data processing network.
And, according to another embodiment, the present invention provides a method for facilitating processing and disposition of a dispute involving a plurality of transaction parties within an access controlled environment, comprising the steps of: at an access control facility accessible via a global data processing network, creating and maintaining user security profiles related to the plurality of transaction parties; at the access control facility, permitting or denying a user to login into an access controlled environment maintained within a data processing environment based upon the user and at least one of the user security profiles corresponding to the user; if the user is permitted to login, at the access control facility, providing operative access to the user to a transaction management facility operating within the access controlled environment and configured to store and maintain data related to disputes; at the transaction management facility, permitting user to create, update and delete transaction data based on the dispute and a predetermined security level to facilitate disposition of the transaction within the access controlled environment; at an authentication facility, requiring the user to enter authentication data related to the transaction data in order to authenticate the transaction data based on a predetermined authentication scheme; at the transaction management facility, permitting the user to enter the authentication data; at the transaction management facility, notifying the user if a decision needs to be made based on the transaction data and/or the authentication data; at the transaction management facility, allowing the user to enter a decision in order to dispose of the dispute; at a communications facility, notifying the plurality of transaction parties of the decision via the global data network; at a billing facility, consolidating data related to internal operations performed by the access control facility, the transaction management facility, and the authentication facility; and at the billing facility, generating and processing the billing data and sending a billing notice to at least one of the transaction parties via the global data processing network.
The present invention is next discussed in detail with reference to the drawing figures which are first briefly described.
[0037]FIG. 1 is a diagram that illustrates the parties and structures that can now work together in accordance with the systems and methods provided by the present invention to facilitate transaction processing and disposition online such as via the Internet and WWW within an access controlled environment;
[0038]FIG. 2 is a block diagram that illustrates the logical nature of a service facility and the relationships between such a facility and the structures and parties shown in FIG. 1 that are realized within the systems and methods provided by the present invention to facilitate transaction processing and disposition online within an access controlled environment;
[0039]FIG. 3 is a system diagram that illustrates a connected networked data processing environment in which a service facility operates in accordance with a preferred embodiment of the present invention to facilitate transaction processing and disposition online within an access controlled environment provided by the service facility;
[0040]FIG. 4 is a block diagram of an automatic data processing system that may be configured in accordance with the present invention to operate as the service facility, user systems and other external systems shown in FIG. 3;
[0041]FIG. 5 is a block diagram that illustrates the logical components of the service facility shown in FIG. 3;
[0042]FIG. 6 is a data flow diagram that illustrates an exemplary flow of data among the parties, structures, and logical components shown in FIGS. 1-5 and, in particular, the flow of data in the context of what is called an “inter-parties” proceeding such as a lawsuit;
[0043]FIG. 7A is a flowchart that illustrates a method for facilitating disposition of a transaction online within an access controlled environment in accordance with a preferred embodiment of the present invention;
[0044]FIG. 7B is a continuation chart and, in particular, a detail chart of Step S702 shown in FIG. 7A;
[0045]FIG. 7C is the conclusion of the flowchart started in FIGS. 7A and 7B;
[0046]FIG. 8A is a flowchart that illustrates a specific method for facilitating disposition of a transaction such as a motion raised by a litigant (a transaction party) in the context of an inter-parties proceeding online within an access controlled environment in accordance with a preferred embodiment of the present invention;
[0047]FIG. 8B is a continuation chart of the flowchart started in FIG. 8A;
[0048]FIG. 8C is a continuation chart of the flowchart started in FIGS. 8A and 8B;
[0049]FIG. 8D is the conclusion of the flowchart started in FIGS. 8A, 8B, and 8C;
[0050]FIG. 9A is a flow diagram that illustrates a process for authenticating and verifying user identities so that such users can become transaction parties in the context of a preferred embodiment of the present invention;
[0051]FIG. 9B is a flow diagram that illustrates a process for authenticating and verifying user identities using customer support systems and processes so that such users can become transaction parties in the context of a preferred embodiment of the present invention;
[0052]FIG. 9C is a flow diagram that illustrates a process for issuing secure user identification cards (e.g., SecurID™ Cards) to be used to permit users to become transaction parties and to access an access controlled environment provided in accordance with a preferred embodiment of the present invention;
[0053]FIG. 9D is a flow diagram that illustrates a process for fulfilling a request for issuance of a replacement secure user identification card (e.g., SecureID Card) to be used to access an access controlled environment according to a preferred embodiment of the present invention;
[0054]FIG. 9E is a flow diagram that illustrates another process for fulfilling a request for issuance of a replacement secure user identification card (e.g., SecureID Card) to be used to access an access controlled environment according to another preferred embodiment of the present invention; and
[0055]FIG. 10 is a diagram known as a “site map” that lays out a preferred embodiment of an Internet accessible site that will permit transaction parties to engage in online operations related to a transaction processed within an access controlled environment according to a preferred embodiment of the present invention.
The term “Transaction” means any type of interaction between people which requires final resolution (disposition). For example, a contract is a transaction that requires the parties to the contract to meet certain obligations or otherwise face certain defined consequences such as lawsuits for damages, etc. A contract may be one that binds parties to certain obligations of confidence—such contracts are often called “non-disclosure agreements.” Other transactions include inter parties litigations such as dispute in the context of a lawsuit between a plaintiff (a complaining party to a transaction) and a defendant (the party to whom a complaint is directed and who must answer a plaintiffs allegations which give rise to a lawsuit), arbitrations in which parties to a transaction may agree to be bound by an arbitrator's rulings as to the rights of contracting parties (e.g., as in the case of labor disputes and the like); settlement negotiations in which parties to a transaction may work directly with each other or otherwise involve negotiators, arbitrators, and mediators to help them reach settlement of a disputes; and ex parte litigation and processes such as in the case of transactions involving public and private disputes with organizations such as in the case of claims for social security benefits raised before the U.S. Government Social Security Administration and credit card charge disputes directly raised to one's credit card company. It is important to note that the term “Transaction” is an inclusive one in the sense that events occurring in everyday interactions between people may now be processed within the systems provided by the present invention. Moreover, a transaction in the context of the present invention may be recursive in that a transaction may include transactions which include transactions and so on, or, a transaction may spawn additional autonomous transactions. For example, a transaction such as a lawsuit may include subordinate transactions such as motions which occur during the disposition of the lawsuit, or a credit card dispute may spawn an additional transaction in the form of a lawsuit. And, despite the fact that the present invention may be utilized to facilitate efficient and effective disposition of a whole transaction such as a whole lawsuit, the present invention does not require complete processing to deliver its benefits; instead, a group of parties involved in a transaction (term: “Transaction Party”—defined below) may agree to access a service provided in accordance with the present invention to facilitate disposition of only a part of a transaction (e.g., a subordinate or, possibly, collateral transaction). Accordingly, it should be readily understood that a transaction may include, but certainly are not limited to, leasing transactions, contract type transactions, franchising transactions, licensing transactions, sales transactions, real estate transactions, Uniform Commercial Code (UCC) related transactions, non-disclosure agreement transactions, and all other interactions between people that require resolution and other similar management.
The term “Access Controlled Environment” means an environment provided and operated within a data processing system or environment in which transaction parties communicate to resolve or otherwise dispose a transaction. An access controlled environment is one that exists as a state within a data processing system or environment. Transaction parties may safely and securely exchange information and data with other transaction parties within an access controlled environment.
Referring now to FIG. 1, depicted therein is a diagram that illustrates the parties and structures that can now work together in accordance with the systems and methods provided by the present invention to facilitate transaction processing and disposition online within an access control environment. In particular, the structures shown in FIG. 1 include systems and objects within a data processing environment such as a modern network data processing environment that is coupled to the Internet and WWW. In particular, FIG. 1 depicts a plurality of transaction parties 102 through 116 including, but not limited to, party1 102, a Court such as a United States District Court 104, party2 106, a private agency or group 108, party3 110, a organization 114, attorneys 107, and an insurance company or carrier 116. As shown in FIG. 1, the rectangular structure is intended to identify an access controlled environment 100 which is provided by a service facility to facilitate transaction processing and disposition in accordance with the present invention. A transaction is illustrated as a cloud object 101 in the center of the Figure and within access controlled environment 100, is to be operated upon and accessed by the exemplary transaction parties 102-116 within access controlled environment 100. In this context, a transaction may include, but is not limited to, Court proceedings, inter-parties proceedings, ex-parte proceedings, contract scenarios, dispute resolutions, etc.
Transaction parties 102-116 are permitted to access, create, and modify transaction data stored within access controlled environment 100 via online sessions such as those occurring over the Internet and WWW. Such sessions may be secure sessions involving security technologies such as encrypted web sessions (secure pages), digital certificates and signatures such as those issues by security agencies (e.g., VERISIGN, INC.), confirmation mechanisms such as those which utilize biometric data (e.g., fingerprint data, etc.). And, as discussed below with regard to the operational aspects of the present invention, such security may be provided in terms of the verification schemes used to verify and authenticate actual transaction data stored and processed with access controlled environment 100. Accordingly, those skilled in the art of online security will readily appreciate that technologies such as HTTF, PKI, SSL, token schemes, ACE/Server Technology, etc. may be used to facilitate secure communications. ACE/Server provides centralized, strong authentication services for networks, ensuring that only authorized users gain access to network files, applications and communications facilities. In conjunction SecurID® token technology, ACE/Server creates a virtually impenetrable barrier against unauthorized access, thereby protecting service facility 200 and its data resources from potentially devastating accidental or malicious intrusion. Additionally, systems and processes provided by security service providers may be utilized within the context of the present invention such as those provided and offered by VERISIGN, INC., CHOICEPOINT, and EQUIFAX. Such security also may be implemented using FOB technology such as is used with downloads to wireless devices (e.g., such as those devices enabled with Wireless Access Protocol (WAP) capability), etc. digital certificates, biometrics, tokens, etc.
All data and information generated and/or otherwise processed by transaction parties 102 through 116 may be centrally stored or stored in a distributed network environment but controlled within access controlled environment 100. Accordingly, party1 102 may be involved in a transaction such as a lawsuit against party3 110 which involves Court 104. The interactions between party1 and party3 and Court 104 may be recorded as data objects and stored for access within access controlled environment 100. Moreover, since access controlled environment 100 is configured within the context of the present invention to permit and deny user access to transaction data, such as Court proceedings, motions, etc., parties and, in particular, transaction parties can now utilize the present invention to gain immediate access to case relevant information and quickly and more efficiently than with previous systems and methods which often were paper based and riddled with inefficiencies. Access controlled environment 100 is the centralized environment and network which permits the present invention to facilitate transaction processing and disposition without the need for conventional systems and time consuming and inefficient processes.
It should be noted that the present invention permits transaction parties to be alerted of transaction data disclosures to other transaction parties, for example, based on established rules for disclosure which may vary based on transaction type, etc. Such rules may be based on logic that controls disclosure of transaction data such as rules based on real-world contracts, non-disclosure agreements, protective orders, and other transaction-specific rules or other proprietary rules prohibiting and/or allowing disclosure.
More particularly, service facility 200 is a web-enabled server system that has been configured in accordance with the present invention to permit web access to access controlled environment 100 which exists as a state within service facility 200. Because service facility 200 is Internet accessible, it uses firewall technology and other similar and like technologies to avoid and secure against unwanted access and intrusion by hackers and other unauthorized personnel. A major security component of service facility is anti-virus security to ensure that transaction data stored within a data storage facility is protected from virus type intrusions. A preferred web-enabled, Internet ready platform suitable for instantiation of a service facility 200 includes data processing facilities such as those manufactured and marketed by iPlantet and SUN MICROSYSTEMS and runs the SUN SOLARIS operating system, ORACLE including the ORACLE APPLICATION SERVER, ORACLE DATBASE SERVER, access control facilities such as those implemented to utilized PKI and other security schemes compatible with RSA security processes. Additional service facility 200 will include firewalls, virus detection and processing systems and facilities, etc.
It is important to note that although system 300 includes one service facility, actual implementation of a networked infrastructure which is Internet and WWW accessible may be outfitted with more than one such service facility. Moreover, although service facility is shown as a separate component, such illustration is not intended to limit the scope of the present invention. To the contrary, those skilled in the art will readily appreciated that a distributed architecture could be used for such an accessible infrastructure. And, it should also be understood that a service facility of the type contemplated by the present invention may be implemented within a particular organization such as within a non-public network; in such a case, service facility 200 may be configured with the same open-standards based technologies and computer software to provide the same level of functionality as described below with regard to FIGS. 6-8D to facilitate transaction processing and disposition in a networked environment and/or in some other network type environment such as within a peer-to-peer network environment.
Referring now to FIG. 5, depicted therein is a block diagram that illustrates the logical components within service facility 200 as shown within FIGS. 2 through 4 to facilitate transaction processing and disposition online within an access controlled environment. In particular, and as noted above, service facility 200 includes transaction management facilities and data management facilities 502, connectivity and communications facilities 504, access control facilities 506, authentication facilities 508, and billing facilities 510. The logical constructs shown within FIG. 5 form the basis of the programmatic structures within service facility 200 used to facilitate transaction processing and disposition within an access controlled environment online such via a global network like or similar to the Internet and WWW. By way of example, connectivity and communications facility 504 may be used to communicate with transaction parties, user systems, external systems, other facilities within service facility 200, etc, such as via email, wireless means, TCP/IP and other communications protocols, etc.
Transaction management facility 502 is a set of programmatic objects which are illustrated as sequence based operations with FIGS. 7A-8D that is operable within access controlled environment 100, which are coupled to access control facility 506 and which are configured to store and maintain transaction data in a variety of formats based on the nature of the transaction (e.g., database records, objects and/or files structured to store transaction data such as litigation data, namely, parties' names and profiles Judge and Court information, etc.) or the user's operations within access controlled environment 100, and/or a security scheme such as one calling for encryption or some other data based security scheme. Accordingly, transaction management multiple facility includes layers of security to ensure the proper level of controlled access to all transaction parties based on the transaction, dispute, state and status, party involved, type of transaction data being updated, added or deleted, and other parameters that may be set relative to the transaction.
Next, at step S702-9, a service facility homepage is presented to the user via the internet and WWW such as via a web browser such as INTERNET EXPLORER V.x which is manufactured and marketed by MICROSOFT CORPORATION. MICROSOFT AND INTERNET EXPLORER are trademarks and/or registered trademarks of MICROSOFT CORPORATION.
At step S702-3 an automatic determination will be made to determine if the user is in a directory of known users. If the user is in a directory, operations and processes proceed to step S702-5, wherein the user record will be repopulated and will be presented to the user for appropriate editing and correction of user data.
Referring now to FIGS. 8A through 8D, depicted therein is a flow chart that illustrates a specific method for facilitating initiation and disposition of a proceeding such as a court type motion or other proceeding raised by a litigant (a transaction party) in the context of an inter-parties proceeding such as a lawsuit, administrative proceeding, etc. online and within an access controlled environment in accordance with a preferred embodiment of the present invention. A typical online proceeding/motion contemplated by the present invention and which can now be processed within an access controlled environment is one that flows as follows:
A transaction party 1 is in a dispute with a transaction party 2. The transaction parties, counsel, and a Judge will have agreed to use service facility 200, for example, to process the dispute (at least to the extent of the online motion);
Transaction party 1 creates the motion within service facility 200 and, accordingly, causes creation of an access controlled environment;
The judge or decision maker is proxy registered and given admin rights to the access controlled environment;
The judge completes the registration process and is user authenticated. The judge can then add his clerks to the matter and specifies at least one clerk as an acting agent to the online transaction;
The judge's clerk sets up the motion by entering the motion name, the hearing date (if any) and selects which matter participants will be included in the motion and in correspondence from the court;
The judge then posts questions or other inquiries and specifies rules for response from transaction parties. Such rules may include word counts, time frames, exhibit rules, etc. The judge may specify questions and time frames in which to respond, along with penalties for not responding accordingly. The judge will be given a chance to review the questions, etc. to ensure for accuracy and the like;
Notifications about the judge's inquiries are sent to the transaction parties;
Transaction parties may respond to the inquiries from the judge and such responses will be posed within the access controlled environment;
Problems associated with transaction party responses are evaluated and noticed to the appropriate transaction parties (e.g., exceeding word counts, etc.);
A clerk or the judge may then cycle to post follow-up questions to the transaction parties, etc.;
The transaction parties may respond;
The court per a clerk, for example, posts motion status and results within access controlled environment (e.g., MOTION GRANTED, etc.); and
Notifications about motion status are sent to the transaction parties and a transcript will of the disposition of the online motion will be posted within the access controlled environment and, possibly, within publicly accessible storage.
The operations within an access controlled environment provided by the present invention as outlined above, are next discussed in greater detail with reference to the specific operations illustrated in FIGS. 8A through 8D. In particular, processing begins at step S801 and immediately proceeds to step S802.
At step S802, a transaction party files a motion (or some other similar or like document to initiate proceedings) to a Court (or other similar decision making body, etc.) within in the context of a particular legal proceeding such as within a lawsuit. A motion may include a request by a transaction party to compel discovery in the context of a lawsuit (e.g., a MOTION TO COMPEL), a request for an inter parties proceeding (e.g., a hearing) to seek court or similar decision making services or relief (e.g., a MOTION TO DISMISS a meritless lawsuit), etc. In this exemplary embodiment, the motion is filed in a conventional manner; that is, by way of paper motion submitted to a clerk's office of a court. However, if the parties and the Court agree ahead of time, such motion may be initiated online, such as already described above.
Next at step S803, the parties to the lawsuit and the Court agree to use service facility 200 to facilitate disposition of the motion/proceeding online and within an access controlled environment 100.
Next at step S804, a user logs into service facility 200 and requests the creation of a new transaction or transaction process, such as a matter such as in the case of creation of an online motion. It is important to note that at step S804 initial registration of an online matter requires the determination as to whether the user is already registered to act as a transaction party within access controlled environment 100, for example. Such operations were described above with regard FIG. 7A through 7C and are incorporated again here. If the user is a transaction party, then service facility 200, and in particular, access controlled facility 506, for example, will have on-file user name data, password data, the function role and affiliation of the user within the transaction, email addresses, physical addresses, BAR numbers in the case of attorneys, biometric identifiers, security Ids such as digital certificates and digital signatures which may be generated by certificate authorities such as VERISIGN, INC., lists known as buddy lists for correspondence with in an access controlled environment, telephone contact information, facsimile contact information, as well as any other information that system designers may deem appropriate. It is important to note that the user (if authorized; for example, an administrating party may be the only party authorized to set up process flows, security profiles, etc.) may specify certain security levels for access controlled environment 100. Such security may take the form of access control, data security such as that provided by encryption techniques, as well as authentication schemes which may be used to authenticate data within the transaction. Such authentication schemes were discussed above with regard to FIG. 5 and may include facilities and operations based upon otherwise external authentication techniques, such as those required by Federal Rules of Evidence, etc.
At step S809, a Judge or court or other decision making body initiates a session and defines colloquy and interaction rules and access protocols. In essence, the Judge sets the rules for the transaction but may later want to amend or modify them. For example, the Judge or court may set permissible word counts for online response by counsel and parties, the dates by which responses are due, the persons to whom the queries are directed, the extent of public access to the colloquy, the level security, security required within the transaction, whether the colloquy will be structured according to forms established by the court, for example, or one that that is set in an open form such as via online chat facility implemented within an accessed controlled environment, and the content of queries to and from the court. In particular, a Judge may specify that there are ramifications associated with going beyond certain word counts in a response to particular communications. This will have the affect of allowing a court or other decision making body to control the amount of content it receives thereby promoting efficient and articulate papers to be submitted within the context of a transaction. A Judge or other decision making body may define the consequences associated with having an over-long response, for example. Such over long response may be truncated, may require the payment of additional fees to court, or may be completely ignored based upon the fact that the response did not meet the length requirement. Such parameters may be used by the court, as noted above, to have parties be more articulate in the communications with the court. Additionally, by the court establishing specific rules for the timely filing of papers and the like, better communication is realized among all transaction parties within an accessed controlled environment. Rules my now be established based on specific matters and transactions as opposed to general court rules which may or may not apply in particular transactions. Accordingly, the present invention permits more efficient and effective communication between the decision making body and the litigants to a particular transaction.
Next at step S814, a determination will be made as to whether there are any follow up queries such as those by the court and/or the transaction parties which are involved in the transaction. If the determination at step S814 is affirmative, processing proceeds back to step S810 thereby creating a looping construct as discussed above. Otherwise, processing proceeds at the top of FIG. 8D as next described.
At step S815, counsel will receive notice of an online motion and that a transaction is pending within access controlled environment 100. Such notice my come in the form of a electronic communication, such as electronic mail (email), automatically generated notice via conventional post systems, wireless alert, or any other communications system established and coupled to service facility 200 which is configured to generate notices and to send the same to parties involved in a particular transaction. It is important to note that when communications mechanisms such electronic mail sent over the Internet are used to notify transaction parties of events occurring within an access controlled environment such communications may be formed according a predetermined level of vagueness. That is, while great lengths have been made to permit high levels of security (and anonymity) within access controlled environment 100, electronic mail sent from that access controlled environment may not possess the same level of security such as encryption, etc. Accordingly, such electronic communications (e.g., email) may merely reference that updates have been made to a particular transaction (such as via alias names for transaction to ensure attorney-client communications, privilege, and confidentiality, etc.) which may contain a code name established by a particular transaction party. There is no requirement that an email notification (or any other form of notice) contain any type of reference or direct reference to any particular piece of data or to a particular document stored within data store 404 within an accessed controlled environment maintained by service facility 200. All that is required within the present invention, is that transaction parties be notified that updates have been made and that their input and/or review is required or desired. Again, there is no requirement that any such communications contain any particular type of reference to any particular type of data or information within an accessed controlled stored within an access controlled environment. Also, such communications may be carried out in any particular order or fashion such as via cascading (Judge, Counsel, Clerks, etc.) and may be done automatically (passively) or upon express request for notice to be sent.
Exemplary processes for authenticating and verifying user identities are shown and now described with reference to FIGS. 9A, 9B, 9C, 9D, and 9E. Such process may be configured to utilize security cards similar or like SecurID™ type security cards such as those that operate in accordance with host and client synched security codes to facilitate verification of user identity. Such devices utilize synchronized codes which permit users possessing a valid code generated within an electronic credit card like instrument to be presented to a host system (e.g., service facility 200) to permit the user to enter a controlled data processing space. Beginning with FIG. 9A, depicted therein is a flow diagram that illustrates a process (referred to as FLYWHEEL™) for authenticating and verifying user identities so that such users can become transaction parties in the context of a preferred embodiment of the present invention. The FLYWHEEL™ trademark is a trademark of the owner of this patent document and any rights stemming therefrom. In particular, FIG. 9A shows a process wherein a user such as a transaction party may access service facility 200 and engage in a series of operations that ultimately may lead to issuance of a SecurID secure access card such as one that operates in accordance with host and client synched security codes. A SecurID token provides an easy, one step process to positively identify network and system users and to prevent unauthorized access. For example, when SecureID tokens are used in conjunction with other hardware or software access control modules (ACMs), including ACE/Server®, a SecurID token can generate a new, unpredictable access code every 60 seconds. The operations and process flows shown in FIG. 9A will be immediately understood and appreciated by those skilled in the art. It is important to note that references to “system” within FIG. 9A and progeny may be considered references to service facility 200, for example. The process flow shown in FIG. 9A, and progeny, is read left to right as will be readily understood by those skilled in the art.
[0168]FIG. 9B, similar to FIG. 9A, is a flow diagram that illustrates a process for authenticating and verifying user identities using customer support systems and processes so that such users can become transaction parties in the context of a preferred embodiment of the present invention. Here, a customer service facility and one which may include customer service personnel may be involved in the process of issuing secure access instruments like or similar to SecureID cards discussed above with regard to FIG. 9A.
Accordingly, by providing a system and corresponding methods that facilitate initiation and disposition of motions such as court motions online within an access controlled environment, several benefits over prior systems and processes are realized. For example, the present invention now allows judges, for example, to initiate an online colloquy with timing, length of responses, and rules of engagement set by a court. Internet and modern security and authentication systems assure user identification and data integrity to permit colloquy to become a certified record. Automatic communications via modern mechanisms are achieved via email, fax, etc. to multiple recipients without requiring direct human intervention. Greater access to justice and other similar systems is achieved through a broader base of system users. And, new technologies are easily integrated into a common service facility so as to provide greater dissemination (e.g., automatic service of transcripts, etc.) of justice system information.
Attorneys and counselors will realize increased efficiency in terms of reducing travel time, avoidance in costs associated with the preparation for issues that do not interest a court, avoidance of overstaffing to brief issues, etc. Courts and other similar bodies will realize increased efficiencies by having clerks involved in colloquy processes earlier and more often. Judges, and other decision makers, need not appear in court to hand all motions practice and can manage colloquies from remote locations, thus possibly leading to a more specialized judiciary. And, clients and insurers and those needing access to civil and criminal justice systems, for example, benefit from reduced costs and from the ability to leverage counsel with specialized skills to assist in responding to particular queries (e.g., specific court queries, etc.).
1. A system for facilitating initiation and disposition of a proceeding online within an access controlled environment, comprising:
a transaction management facility operable within said access controlled environment, coupled to said access control facility, and configured to store and maintain transaction data based on said proceeding, said user operations, and a security scheme; and
an authentication facility operable within said access controlled environment and configured to authenticate said transaction data based on an authentication scheme corresponding to said proceeding,
whereby said transaction management facility, said access control facility, and said authentication facility operate together to facilitate initiation and disposition of said proceeding online.
2. The system according to claim 1, wherein said global data processing network is the Internet.
3. The system according to claim 1, wherein said access control facility includes a user registration facility permitting a user to be registered based on predetermined registration criteria prior to permitting said user to access said access controlled environment.
4. The system according to claim 1, wherein said access control facility permits or denies access based on a user identifier and a user password.
5. The system according to claim 1, wherein said transaction management facility is further configured to automatically notify said user based upon a change to said transaction data.
6. The system according to claim 5, wherein said transaction management facility notifies said user via an automatically generated electronic mail message.
7. The system according to claim 6, wherein said automatically generated electronic mail message contains a reference to said transaction based on a predetermined level of vagueness.
8. The system according to claim 1, wherein said proceeding is an online motion in the context of a legal proceeding.
9. The system according to claim 1, wherein said proceeding is an administrative motion proceeding.
10. A method for facilitating initiation and disposition of a proceeding online within an access controlled environment, comprising the steps of:
permitting at least one transaction party to create an access controlled environment corresponding to said proceeding;
permitting said at least one transaction party to initiate said proceeding online to correspond to said access controlled environment;
permitting a decision maker to enter said access controlled environment and to set rules for processing said proceeding online within said access controlled environment and to raise inquiries intended to be responded to by said at least one transaction party;
permitting said at least one transaction party to enter said access controlled environment and to submit responses to said inquiries online;
permitting a decision maker to act upon said responses and said proceeding to reach a decision determining the outcome of said proceeding so as to dispose of said proceeding; and
posting said decision within said access controlled environment and notifying said transaction parties of said decision.
11. The method according to claim 10, wherein said proceeding is an online motion in the context of a legal proceeding.
12. The method according to claim 10, wherein said rules govern the way said transaction parties process said proceeding and interact with said decision maker.
13. The method according to claim 10, wherein said rules include response time limits.
14. The method according to claim 10, wherein said rules include word count requirements set to correspond to responses from said transaction parties.
15. The method according to claim 10, wherein said rules correspond to court rules.
16. A system for facilitating initiation and disposition of an online motion within an access controlled environment within the context of a court proceeding, comprising:
an access control facility accessible via a global data processing network and configured to maintain user information, and to permit or deny a user to enter an access controlled environment within a data processing environment and to perform user operations within said access controlled environment related to said online motion;
a transaction management facility operable within said access controlled environment, coupled to said access control facility, and configured to store and maintain transaction data based on said online motion, said user operations, and a security scheme; and
an authentication facility operable within said access controlled environment and configured to authenticate said transaction data based on an authentication scheme corresponding to said online motion,
whereby said transaction management facility, said access control facility, and said authentication facility operate together to facilitate disposition of said online motion.
17. The system according to claim 16, wherein said global data processing network is the Internet.
18. The system according to claim 16, wherein said access control facility includes a user registration facility permitting a user to be registered based on predetermined registration criteria prior to permitting said user to access said access controlled environment.
19. The system according to claim 16, wherein said access control facility permits or denies access based on a user identifier and a user password.
20. The system according to claim 16, wherein said transaction management facility is further configured to automatically notify said user based upon a change to said transaction data.
21. The system according to claim 20, wherein said transaction management facility notifies said user via an automatically generated electronic mail message.
22. The system according to claim 21, wherein said automatically generated electronic mail message contains a reference to said online motion based on a predetermined level of vagueness.
US10136689 2000-11-22 2002-05-01 System and method for facilitating initiation and disposition of proceedings online within an access controlled environment Abandoned US20030028782A1 (en)
US71809700 true 2000-11-22 2000-11-22
US10136689 US20030028782A1 (en) 2000-11-22 2002-05-01 System and method for facilitating initiation and disposition of proceedings online within an access controlled environment
US71809700 Continuation-In-Part 2000-11-22 2000-11-22
US20030028782A1 true true US20030028782A1 (en) 2003-02-06
ID=24884807
US10136689 Abandoned US20030028782A1 (en) 2000-11-22 2002-05-01 System and method for facilitating initiation and disposition of proceedings online within an access controlled environment
US (1) US20030028782A1 (en)
WO2004090696A1 (en) * 2003-03-04 2004-10-21 Mäkipää Innovation Oy Method and system for carrying out electronic transactions
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