RE: [legalxml-courtfiling] Information to be tagged for redaction

["Lewis, Diane" <Diane.Lewis@usdoj.gov>]

XML enabled authoring tools provide functionality to support the attorney's requirement to redact data... we are in this arena in our work at DOJ/EOUSA.  there is a need to implement business processes as well...  here is further comment as promised by me in Utah... from the practitioner point of view... 

per our Electronic Case Filing Project legal advisor: 
there should be a comprehensive agreed upon definition on what constitutes account numbers and that may have to be broken because some may need to be revealed under limited circumstances beyond counsel etc and probably may need to include credit reports.  The list should include birth dates and mother's maiden name.  For victims it should include victims family members as well for all of the same information and for law enforcement there should be tags for undercover and cooperators.

i attach a draft working document that provides additional feedback on this topic of what data should be tagged for redaction.... these are the preliminary data requirements that we have from our attorneys complying with court notices.... all relates to court filings or case documents on the attorney's desk  this is our work on the subject to date   diane



-----Original Message-----
From: Benjamin T. Wilson [mailto:ben.wilson@xcera.net]
Sent: Wednesday, July 17, 2002 5:25 PM
To: Lewis, Diane; Lin, Meng-chun; 'John M. Greacen'; 'Bergeron, Donald
L. (LNG)'; 'jik'; 'Larry Webster'; 'Mary Campbell McQueen'; 'Mohyeddin
Abdulaziz'; 'Robin Gibson'; 'Rolly Chambers'; 'Terrie Bousquin'; 'Eddie
OBrien'; 'Roger Winters'; 'Gregory W. Arnold'; 'Dr. Laurence Leff';
'John Messing'; 'Allen Jensen'; 'Rory Perry'; 'Ron.Beach';
'moira.rowley'; 'Dwight R Daniels'; 'Ron Bowmaster'; 'Charles Gilliam';
'aerts'; 'jeromeb'; 'tbrown'; 'tom.clarke'; 'bruce.gitlin'; 'dagoodwi';
'roger'; 'wjohnsto'; 'pkasselman'; 'Catherine.Krause'; 'manoj';
'gary.pinder'; 'gpoindexter'; 'dpowell'; 'ssansom'; 'tjsmith';
'steve.spohn'; 'steven.taylor'; 'kthotti'; 'swood'; 'Mark S. Yuan';
'Robert DeFilippis'; 'John Ruegg'; 'John McClure';
/DDV=legalxml-courtfiling@lists.oasis-open.org/DDT=RFC-822/O=INETGW/P=GO
V+DOJ/A=TELEMAIL/C=US/
Subject: RE: [legalxml-courtfiling] Information to be tagged for
redaction


FYI and for what it's worth -
I did  a little googling, and New Mexico's federal court
(http://www.nmcourt.fed.us/bkdocs/lackpriv.pdf), consistent with the
Report of the Judicial Conference of the United States
(http://www.privacy.uscourts.gov/Policy.htm) (that certain "personal
data identifiers" - Social Security numbers, dates of birth, financial
account numbers and names of minor children- be modified or partially
redacted by litigants), says the following regarding redaction:
Redacting means the careful editing of a document to remove confidential
material; on paper, the material is usually "blacked out" with a marker.
Personal identifiers:
a. Social Security numbers. If an individual?s social security number
must be included in a pleading, only the last four digits of that number
should be used.
b. Names of minor children. If the involvement of a minor child must be
mentioned, only the initials of that child should be used.
c. Dates of birth. If an individual?s date of birth must be included in
a pleading, only the year should be used.
d. Financial account numbers. If financial account numbers are relevant,
only the last four digits of these numbers should
be used.

However, as the web site for the Bankruptcy Court for the Eastern
District of California
(http://www.caeb.uscourts.gov/data/pubnotices/not_re_privacy_elec_Avail.
pdf) notes, until bankruptcy law/rules are amended, the full social
security number / employer identification number is required in the
title of the case (caption). 

I take this to mean that it is the responsibility of the attorney and
litigants (and not the technology/XML) to redact personal data
identifiers.  




-----Original Message-----
From: Lewis, Diane [mailto:Diane.Lewis@usdoj.gov] 
Sent: Tuesday, July 16, 2002 8:18 PM
To: Lin, Meng-chun; 'John M. Greacen'; 'Bergeron, Donald L. (LNG)';
'jik'; 'Larry Webster'; 'Mary Campbell McQueen'; 'Mohyeddin Abdulaziz';
'Robin Gibson'; 'Rolly Chambers'; 'Terrie Bousquin'; 'Eddie OBrien';
'Roger Winters'; 'Gregory W. Arnold'; 'Dr. Laurence Leff'; 'John
Messing'; 'Allen Jensen'; 'Rory Perry'; 'Ron.Beach'; 'moira.rowley';
'Dwight R Daniels'; 'Ron Bowmaster'; 'Karl F. Best'; 'Benjamin T.
Wilson'; 'Charles Gilliam'; 'aerts'; 'jeromeb'; 'tbrown'; 'tom.clarke';
'bruce.gitlin'; 'dagoodwi'; 'roger'; 'wjohnsto'; 'pkasselman';
'Catherine.Krause'; 'manoj'; 'gary.pinder'; 'gpoindexter'; 'dpowell';
'ssansom'; 'tjsmith'; 'steve.spohn'; 'steven.taylor'; 'kthotti';
'swood'; 'Mark S. Yuan'; 'Robert DeFilippis'; 'John Ruegg'; 'John
McClure'; legalxml-courtfiling@lists.oasis-open.org
Subject: RE: [legalxml-courtfiling] Information to be tagged for
redaction


John,
i owe you a list of data elements that we have identified... don't think
i was in Las Vegas when the list you provide was discussed... 
i know in Salt Lake City i promised a list that was identified initially
from discussions with our DOJ/USAO ECF workgroup attorneys...  tomorrow
7/18 i will have our project legal advisor look over the list below and
provide comment from Assistant US attorney (AUSA)perspective as well as
our draft list of elements.   note that some US courts have already
implemented redaction procedures both for paper and electronic data ..
the wording is unclear as to what specific elements are not
releasable...      as you can imagine the AUSAs have many concerns
more tomorrow 7/18 on this topic... dl

-----Original Message-----
From: John M. Greacen [mailto:john@greacen.net]
Sent: Tuesday, July 16, 2002 7:33 PM
To: Lewis, Diane; Lin, Meng-chun; Bergeron, Donald L. (LNG); jik; Larry
Webster; Mary Campbell McQueen; Mohyeddin Abdulaziz; Robin Gibson; Rolly
Chambers; Terrie Bousquin; Eddie OBrien; Roger Winters; Gregory W.
Arnold; Dr. Laurence Leff; John Messing; Allen Jensen; Rory Perry;
Ron.Beach; moira.rowley; Dwight R Daniels; john; Ron Bowmaster; Karl F.
Best; Benjamin T. Wilson; Charles Gilliam; aerts; jeromeb; tbrown;
tom.clarke; bruce.gitlin; dagoodwi; roger; wjohnsto; pkasselman;
Catherine.Krause; manoj; gary.pinder; gpoindexter; dpowell; ssansom;
tjsmith; steve.spohn; steven.taylor; kthotti; swood; Mark S. Yuan;
Robert DeFilippis; John Ruegg; John McClure; Court Filing List
Subject: [legalxml-courtfiling] Information to be tagged for redaction


In Las Vegas, Diane Lewis and I agreed to post a list of candidate data
elements that could be included in the Court Document 1.1 specification
for use in redacting information from court documents when they are made
available to the public.

The following is a list drawn from a work product developed by a
committee of the Conference of Chief Justices and Conference of State
Court Administrators on Public Access to Court Records.  The data
elements are examples from the document of data that appears in court
records that should not, in particular situations, be released to the
public.  Hence, this would be an ideal application for XML tagging. Data
could be present for some uses and suppressed for others, with an
application looking for the particular tags associated with the
information to be suppressed.  The data elements are:

? Name, address, telephone number, e-mail address, or place of
employment and other contact information for victims (not including
defendants) in domestic violence, stalking, sexual assault, and civil
protection order proceedings; ? Name, address, telephone number and
other contact information for victims in criminal cases; ? Name,
address, telephone number and other contact information for witnesses
(other than law enforcement witnesses) in criminal, domestic violence,
sexual assault, stalking, and civil protection order cases; ? Name,
address or telephone number of informants in criminal cases; ? Name,
address or telephone number of potential or sworn jurors in a criminal
case; ? Social security number; ? Account number of specific assets,
liabilities, accounts, credit cards, and PINs; ? Medical or mental
health records, including examination, diagnosis, evaluation, or
treatment records; ? Name and address of a minor child; ? Psychological
evaluations of a party, for example regarding competency to stand trial;
? Child custody evaluations in family law or juvenile dependency (abuse
and neglect) actions; ? Description or analysis of a person?s DNA or
genetic material, or biometric identifiers; ? Proprietary business
information such as trade secrets, customer lists, etc. ? Statements of
disability (such as in applications for accommodations under the
Americans with Disabilities Act); ? Address and telephone number of
litigants in cases

The CCJ/COSCA document also identifies document types that should be
suppressible and photographs and physical evidence that should be
suppressible.  In my view, the document types are handled by the
Electronic Court Filing 1.1 specification which provides a
confidentiality option for any document or data element.  I believe that
photographs and physical evidence fall outside our purview, as do
official court reporter notes.

Diane, I invite your additional contributions.

Mo, Rolly and John, I hope this proves helpful in following up on this
issue from the Salt Lake meeting.  Of all the specific data element
tagging that could be useful, this list of items to be tagged for
possible redaction is -- in my personal view --of the highest current
importance.


--
John M. Greacen
Greacen Associates, LLC.
18 Fairly Road
Santa Fe, NM  87507
505-471-0203



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