Case flow Management
CASEFLOW MANAGEMENT
Date(s)
Educational Program or Sponsor
Faculty
2.5 Day Toolbox
National Association for Court Management
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Case flow Management
PURPOSES OF COURTS
•
•
•
•
•
•
•
•
To do individual justice in individual cases
To appear to do justice in individual cases
To provide a forum for the resolution of legal disputes
To protect citizens against arbitrary use of Government
power
To make a formal record of legal status
To deter criminal behavior
To help rehabilitate persons convicted of crimes
To separate persons convicted of serious offenses from
society
Time destroys the purposes of courts. The purpose underlying CFM is not faster and
faster and more and more, it is justice. CFM is a justice not an efficiency driven activity.
National Association for Court Management
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Case flow Management
LOCAL LEGAL CULTURE
INDEPENDENT
DEPENDENT
Size of Court
Judges/Caseload Ratio
Trial/Settlement Practice
Calendaring System
Individual/Master
Civil/Criminal
TIME TO DISPOSITION
Strength of Case Management
Civil/Criminal
Changing Process
Indictment/Information
Speedy Trial Rule
Source: Thomas Church et al, Justice Delayed, NCSC, 1978.
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Case flow Management
Proven Case Management
Principles And Practices
National Association for Court Management
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Case flow Management
SIN QUO NON
THE COURT IS RESPONSIBLE FOR
SUPERVISING CASE PROGRESS.
National Association for Court Management
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Case flow Management
ABA STANDARDS RELATING TO COURT
DELAY REDUCTION
Standard 2.50
Case flow Management and Delay Reduction: General Principle
From the commencement of litigation to its resolution, whether by
trial or settlement, any elapsed time other than reasonably required
for pleadings, discovery, and court events, is unacceptable and
should be eliminated. To enable just and efficient resolution of
cases, the court, not the lawyers or litigants, should control the pace
of litigation. A strong judicial commitment is essential to reducing
delay and, once achieved, maintaining a current docket.
National Association for Court Management
6
Case flow Management
THREE THINGS
THAT COURTS MUST HAVE
• Leadership
• Standards
• Information Related to Standards
– Timely
– Accurate
– Clearly Presented
– Used for Continuous Improvement
National Association for Court Management
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Case flow Management
JUDICIAL COMMITMENT AND LEADERSHIP
• This is the key element
• The chief judge sets the tone
• Judges must:
– Manage judges
– Be committed and show commitment
– Involve other judges, other agencies, staff, court
administrators, and others
– Establish courtwide policy
– Establish partnership with court administrator
and the clerk
National Association for Court Management
8
Case flow Management
CHARACTERISTICS OF SUCCESSFULLY
MANAGED COURTS
•
•
•
•
Accountability
Persistence
Willingness to initiate change
Continuity
– Pet projects do not survive
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Case flow Management
WHY MANY COURTS HAVE LEADERSHIP
FAILURES
• Lack of leadership skills
• Lack of willingness to lead
• Frequent changes of leadership
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Case flow Management
STANDARDS
• For the system as a whole
• For parts of the system
• For individual cases
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Case flow Management
TYPES OF STANDARDS
MACRO
• Filing to disposition all case types
• Pending cases all case types
MICRO
• Time between events
• Individual cases
RELATED GOALS
• Continuances
• Cases over standard
National Association for Court Management
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Case flow Management
Maryland Case flow Time Standards
Case Type
Definition of Terms
Case Time Start
Case Time Suspension
Suspend
Re-Start
Time Standard
Additional
Measurements
Case Time Stop
Criminal
First Appearance
of defendant or
entry of
appearance by
counsel (Rule 4213)
Bench Warrant,
Failure to Appear
(FTA), Mistrial,
NCR evaluation,
petition for reverse
waiver,
competency
evaluation, PSI
ordered, presentencing
treatment program,
interlocutory
appeal
Reappearance,
Retrial, determined
to be criminally
responsible, denial
of reverse waiver,
finding of
competency, receipt
of PSI,
unsuccessful
completion of presentencing
treatment program,
appellate decision
Disposition
· Verdict/PSI
ordered
· PBJ
· Stet
· NP
· NG
· Sentencing
6 months
(98%)
1.Arrest/Service of
Summons or Citation
Date to Filing in
Circuit Court
2.Filing to First
Appearance
3.Verdict to Sentence
Date
Civil
Service on First
Defendant or First
Answer, whichever
comes first
Bankruptcy Court
stay, interlocutory
appeal. Demand
for arbitration,
body attachment
Discharge of
bankruptcy,
reinstatement,
appellate decision,
reappearance
Disposition,
Dismissal or
Judgment, Courtordered arbitration
18 months
(98%)
Circuit Court Filing to
Service or Answer,
whichever comes first
Domestic
Relations
(Including Child
Access)
Service on
Defendant or First
Answer, whichever
comes first
Bankruptcy Court
stay, interlocutory
appeal, body
attachment
Discharge of
bankruptcy,
appellate decision,
reappearance
Disposition,
Dismissal or
Judgment
12 months
(90%)
24 months
(98%)
Circuit Court Filing to
Service or Answer,
whichever comes first
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Case flow Management
Maryland Case flow Time Standards
(continued)
Case Type
Definition of Terms
Case Time Start
Juvenile
Delinquency
First Appearance of
respondent or entry
of appearance by
counsel
Case Time Suspension
Suspend
Re-Start
Bench Warrant,
Failure to Appear,
Mistrial, NCR
evaluation, petition
for waiver,
competency
evaluation, PreDisposition
Investigation Report
ordered, predisposition
treatment program,
interlocutory
appeal
Reappearance,
Retrial,
determination of
NCR, finding of
competency,
decision on waiver,
receipt of PreDisposition
Investigation Report,
unsuccessful
completion of predisposition treatment
program, appellate
decision
National Association for Court Management
Time Standard
Additional
Measurements
Case Time Stop
Disposition
· Jurisdiction
Waived
· Dismissal
· Stet
· Probation
· Facts Sustained
· Facts Not
Sustained
· NP
90 days (98%)
1. Original Offense
date to Filing
2. Petition Filing
date to first
appearance
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Case flow Management
SAMPLE CASE-SPECIFIC TIME
STANDARDS
Table 2
AMERICAN BAR ASSOCIATION TIME STANDARDS*
Time Within Which Cases Should be Adjudicated or Otherwise Concluded
Case Type
90%
98%
100%
Civil
12 months
18 months
24 months
Criminal Felony
120 days
6 months
365 days
Criminal
Misdemeanor
30 days
---
90 days
Domestic Relations
3 months
6 months
12 months
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Case flow Management
New Jersey Civil Time Standards
ACMS*
Notice
Track
Time
Standard
Discovery
Track I
12 months
150 days
60 days
Various
Track II
18 months
300 days
60 days
Various
Track
III
24 months
450 days
60 days
Various
60 days
Managing
judge
responsible
Track
IV
24 months
450 days
(Days before
discovery
ends)
Caveats
*ACMS is the automated case management system, which provides
notices based on elapsed time in individual cases.
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Case flow Management
New Jersey Special Civil Time Standards
Case Type
Time Standard
Caveats
Auto Negligence
4 months
Various
Contract
4 months
Various
Small Claims
2 months
Various
Tenancy
2 months
Various
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Case flow Management
WHY STANDARDS ARE HELPFUL
•
•
•
•
•
Promote Expedition and Timeliness
Motivation
Organize CFM software and MIS
Stimulate new programs and procedures
Internal and External Accountability:
cCourt systems, courts and their leaders,
management, programs and individuals
National Association for Court Management
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Case flow Management
INFORMATION
•
•
•
•
Timely
Accurate
Clearly Presented
Used for Continuous Improvement
National Association for Court Management
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Case flow Management
CASEFLOW MANAGEMENT INFORMATION
SYSTEMS: MONITORING LEVELS
Level I
Basic Information
Level II
For Efficient Information
Level III
For Top Management
Efficiency
National Association for Court Management
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Case flow Management
LEVEL I
Questions you must be able to answer
for basic CFM and docket management
• How many cases are filed each year?
• How many cases are pending?
• How many cases are pending on each judge
team and each judge’s docket?
• How old are the pending cases?
National Association for Court Management
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Case flow Management
LEVEL I
(Continued)
• What is the status of each case? What was the
last event? When did it occur? What is the next
event? When is it scheduled?
• How many cases are disposed each year? How
many cases do each judge dispose each year,
month, week, and day?
• How do the cases reach disposition, i.e., how
many by jury, bench trial, settlement/plea,
dismissal, etc.?
• How old are the cases when they reach
disposition?
National Association for Court Management
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Case flow Management
LEVEL II
• How old are all pending cases and how old are
cases at disposition? When do dispositions
occur? How many cases settle on the day of
trial? How many settle before a trial date is set?
How many events are set? How many are held?
How many events are adjourned/
continued/dismissed? What is the continuance
rate for events other than trials? What is the trial
rate? How many cases are scheduled for trial
that never result in a trial?
National Association for Court Management
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Case flow Management
LEVEL II
(Continued)
• How many appearances are there per
case?
• How many appearances per case would
there be if continuances were eliminated?
National Association for Court Management
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Case flow Management
COMPARISON:
CASELOAD VS. WORKLOAD
130,000
120,000
110,000
100,000
90,000
80,000
70,000
60,000
50,000
40,000
30,000
20,000
10,000
0
1985 '86 '87 '88 '89 '90 '91 '92 '93 '94 '95 '96 '97
'98 '99
Filings: _________________
Appearances: _ _ _ _ _ _ _ _ _
National Association for Court Management
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Case flow Management
LEVEL III
Questions you must be able to answer
for top docket management efficiency
• How do the flow chart and the reverse telescope
compare with court perceptions of the system?
• What are the trial probability rates for each type of case?
• Is judge time being efficiently utilized?
• What are the short- and long-term trends? Based on the
data, what problems can be anticipated? What steps
can be taken now to avoid future problems?
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Case flow Management
LEVEL III
(Continued)
• What are system strengths and
weaknesses? What can be done to
improve the system?
• What is the source of docket problems?
Which cases are getting old? Why? Who
is responsible?
National Association for Court Management
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Case flow Management
REVERSE TELESCOPE
CIVIL
80% Answered
60% At Issue
45% to ADR
35% Settlement Conference
15% Pretrial
5% Trial Starts
2% Trial
Cases Filed
5% Trial
100%
10% Trial Starts
15% Pleas On Trial Setting(s)
50% Begin Trial
60% Pretrial Conference/Motions Hearing
80% First Appearance/Preliminary Hearing
97% Arraignment
CRIMINAL
National Association for Court Management
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Case flow Management
THREE AXIOMS
1. Lawyers settle cases, not judges
2. Lawyers settle cases when prepared
3. Lawyers prepare for significant events
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Case flow Management
FIVE PRINCIPLES
1.
2.
3.
4.
5.
Early control
Continuous control
On a short schedule
Be reasonably arbitrary
Create the expectation and reality that
events happen when scheduled
National Association for Court Management
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Case flow Management
GROUP EXERCISE: EARLY AND
CONTINUOUS CONTROL
RULE 2.507
National Association for Court Management
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Case flow Management
CALENDARING SYSTEMS:
THE BASICS
Types of Case Assignment Systems
•
•
•
•
Individual
Master
Team
Hybrid
National Association for Court Management
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Case flow Management
INDIVIDUAL CALENDAR SYSTEM
Cases Filed
Judge
Judge
Judge
Judge
Judge
Motions
Motions
Motions
Motions
Motions
Pretrial
Conferences
Pretrial
Conferences
Pretrial
Conferences
Pretrial
Conferences
Pretrial
Conferences
Dispositions
Dispositions
Dispositions
Dispositions
Dispositions
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Case flow Management
INDIVIDUAL CALENDAR
ALLEGED STRENGTHS
•
•
•
•
•
•
Autonomy and Responsibility
Accountability
Competition
Motions Practice
Continuity and Familiarity
Eliminate Judge Shopping
Source: Maureen Solomon, Case flow Management in the Trial Court, ABA, 1973.
National Association for Court Management
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Case flow Management
MASTER CALENDAR SYSTEM
Cases Filed
Master Calendar Judge
Pretrials
Arraignments
Motions
Continuances
Judge
Judge
Judge
Judge
Judge
Disposition
Disposition
Disposition
Disposition
Disposition
National Association for Court Management
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Case flow Management
MASTER CALENDAR ALLEGED
STRENGTHS
•
•
•
•
•
•
•
•
Use of Time
Trial Date Certainty
Uniform Disposition Rates
Central Control
Team Spirit
Specialization
Pre Trial Continuity Court Wide
Less Expensive
Source: Maureen Solomon, Case flow Management in the Trial Court, ABA, 1973.
National Association for Court Management
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Case flow Management
Team Calendar System
Cases Filed
Assigned to Team
Team 1
Team 2
Team 3
Master Calendar Judge
Judge 1 Judge 2 Judge 3
Master Arraignment
(Rotating)
Trial
Judge
Trial
Judge
National Association for Court Management
Trial
Trial
Trial
Judge 1 Judge 2 Judge 3
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Case flow Management
TEAM CALENDAR STRENGTHS
• Same as Individual Calendar: Accountability,
Consistency and Competition
• More Cooperation to achieve goals, shape the
work so no courtrooms fall behind
• Reduce Judicial isolation
• More willingness to attempt change; change is
less threatening, more shared risk
• Everyone looking at the same problems, seeking
common solutions
National Association for Court Management
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Case flow Management
WEAKNESSES
• Difficult to make groups function as teams
• Difficult system to maintain over time,
keep the teams meeting and working as a
team
• Difficult to recruit or appoint effective team
leaders
National Association for Court Management
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Case flow Management
HYBRID CALENDAR SYSTEM - 1
Cases Filed
Motions Filed
Motions Judge
Pretrial Conference Requested
PRETRIAL EXAMINER
Notice of Issue Filed
READY-FOR-TRIAL STATUS
To Judge
To Judge
To Judge
To Judge
Motions
Motions
Motions
Motions
Motions
Pretrial
Conference If
Not Held
Earlier*
Pretrial
Conference If
Not Held
Earlier*
Pretrial
Conference If
Not Held
Earlier*
Pretrial
Conference If
Not Held
Earlier*
Pretrial
Conference If
Not Held
Earlier*
Disposition
Disposition
Disposition
Disposition
Disposition
National Association for Court Management
To Judge
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Case flow Management
HYBRID CALENDAR SYSTEM - 2
Cases Filed
Random
Assignment
To Judge
To Judge
To Judge
To Judge
To Judge
Motions
Motions
Motions
Motions
Motions
Pretrial
Conference
Pretrial
Conference
Pretrial
Conference
Pretrial
Conference
Pretrial
Conference
Ready-forTrial Status
Ready-forTrial Status
Ready-forTrial Status
Ready-forTrial Status
Ready-forTrial Status
CENTRAL TRIAL POOL
Assigned by
Assignment
Office
Trial Date
To Judge
To Judge
To Judge
To Judge
Disposition
Disposition
Disposition
Disposition
National Association for Court Management
To Judge
Disposition
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Case flow Management
HYBRID CALENDAR
STRENGTHS
• Allows judges and administrators to use the
most effective and efficient calendar type for
various types of cases
• Provides greatest flexibility. Can use different
calendar types for difference DCM tracks
• Allows managers to take advantage of the
strengths of individual judges
• Various parts of the system can be changed
without changing the entire system
National Association for Court Management
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Case flow Management
HYBRID CALENDAR
WEAKNESSES
• More complex therefore more difficult to
monitor
• Requires an effective automated
information system because so much
monitoring is required
National Association for Court Management
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Case flow Management
COMMON ELEMENTS OF
SUCCESS
•
•
•
•
•
•
•
•
Collective Responsibility Court Control
Continuing Consultation
Standard Procedures
Restrictive Continuance Policy
Central Control and Coordination
Time Standards Filing to Disposition
Measurement of Performance
Change
Source: Maureen Solomon, Case flow Management in the Trial Court, ABA, 1973.
National Association for Court Management
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Case flow Management
FACTORS TO CONSIDER WHEN SELECTING A
CASE ASSIGNMENT SYSTEM
• State mandates
• Number of judges
• Judges’ management skill levels and
personalities
• Number and types of cases being managed
• Degree of cooperation among judges
• Preferences of most judges
• Available and likely staff and information
resources
National Association for Court Management
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Case flow Management
EARLY COURT INTERVENTION
AND
EARLY DISPOSITIONS
Nontrial
National Association for Court Management
Trial
46
Case flow Management
CAMDEN CIVIL DISPOSITIONS
Trial
2%
All other Dispositions 98%
Dismissals 27%
Settlements 52%
Default & Summary Judgments 9%
Other 10%
National Association for Court Management
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Case flow Management
OUR MANTRA
THE SAME
OR BETTER
JUSTICE
SOONER
National Association for Court Management
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Case flow Management
GUIDELINES FOR EARLY
NON-TRIAL DISPOSITIONS
(THE OTHER 98%)
• Obtain dispositions before trial dates are
scheduled
• Provide information necessary for lawyer
preparation and all other decision makers to
make decisions as early as possible
• Create an early disposition climate
• Create special early disposition tracks and
programs for certain types of cases (DCM)
National Association for Court Management
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Case flow Management
CONTROLLING CONTINUANCES
No system will work
if continuances are allowed.
National Association for Court Management
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Case flow Management
THE CONTINUANCE CONUNDRUM
Due to unreadiness
Attorneys request
continuance
When low on list
attorneys may not
prepare case &
have witness
present
Court routinely
grants continuance
Usually cases low
on list are not
reached for trial
Too few ready
cases to keep
judges busy
Court schedules
unrealistically high
number of cases
Source: Maureen Solomon, Case flow Management in the Trial Court, ABA, 1973.
National Association for Court Management
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Case flow Management
WORKLOAD EXPANSION DUE TO
CONTINUANCES
45,855
Appearances
if 5 per filing
Filings
9,171
9,622 Dispositions
119,223
Appearances if
13 Appearances
per filing
National Association for Court Management
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Case flow Management
IMPACT OF DECREASED
APPEARANCES PER CASE
119,223 Appearances @ 13 / case
45,855 Appearances @ 5 / case
73,368 Fewer Appearances Mean . . .
•
•
•
•
•
Better use of judicial resources and time
Less work for court personnel
Reduced attorney load
Reduced litigant inconvenience
Reduced costs
National Association for Court Management
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Case flow Management
How to Multiply Your Workload
1st
TRIAL DATE
2nd
TRIAL DATE
3rd
TRIAL DATE
THESE CONTINUANCES AFFECT …
Files
Prisoner Transportation
Computer Entries Jail Population
Forms
Prosecutor
Scheduling
Judge
Defense
Staff
National Association for Court Management
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Case flow Management
REASONS WHY TRIALS DO NOT
OCCUR ON SCHEDULED DATES
•
•
•
•
•
•
Poorly trained attorneys
Too few early and too many late dispositions
Calendars overset and set too early
Poor use of DCM and ADR
Jury management problems
Parties not prepared
National Association for Court Management
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Case flow Management
REASONS WHY TRIALS DO NOT
OCCUR ON SCHEDULED DATES
(continued)
• Attorney conflicts
• Adjournments
• Cut-off dates for motions, evidentiary
hearings
• Commitment to estimated trial length
• Scheduling backup trials
• Trial backup systems
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Case flow Management
MORE REASONS WHY TRIALS DO
NOT OCCUR ON SCHEDULED
DATES
Is this for participants to make suggestions?
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Case flow Management
GUIDELINES FOR SETTING FIRM
TRIAL DATES
• Schedule as few cases for trial as possible
Goal: Percentage of cases scheduled for trial not more than twice the
actual trial rate.
• Set firm trial dates. Set Trial date when case is
trial-ready after all pretrial matters have been
resolved.
Goal:15% continuances or less.
• Do it once
• Consider every event a disposition opportunity
National Association for Court Management
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Case flow Management
GUIDELINES FOR ACHIEVING FIRM
TRIAL DATES
•
•
•
•
Schedule as few trials as possible
Schedule trials late in the process*
Have backup systems
Gather and review monitoring information
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Case flow Management
CONTINUANCES AND TRIAL RESETS
• Sample jurisdiction
26,612 filings
532 trials
• 26,612 x 3 people = 79,836 people
Continue once - 79,836 x 2 = 159,672
Continue twice - 79,836 x 3 = 239,503
Continue 3 times - 79,386 x 4 = 319,344
• Trial - average appearances per case = 5
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Case flow Management
CONTROLLING CONTINUANCES
AND TRIAL RESETS
• Strict written court policy to limit
continuances
• Track continuance rate to see if policy is
enforced
– Who continued
– Reasons for continuance
National Association for Court Management
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Case flow Management
CONTINUANCES RULES
• Continuances breed continuances
If attorneys believe case will proceed
as scheduled, they will prepare
Preparation minimizes the need for
continuances
• Cannot establish trial date certainty if
you allow continuances
National Association for Court Management
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Case flow Management
TARGET CONTINUANCES RATE
Goal: Continuance rate of 15% or less
per scheduled court event including
trial settings
National Association for Court Management
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Case flow Management
PROVEN TECHNIQUES FOR BOTH CIVIL
AND CRIMINAL CASES
•
•
•
•
•
•
•
•
Court attention to cases at earliest possible moment
Early and continuous case control
Event deadlines
Restriction of continuances
Smaller trial calendars
Firm trial dates
Trial management
For all but the most complex court cases, do not
schedule trials until all other settlement options have
been tried
National Association for Court Management
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Case flow Management
PROVEN TECHNIQUES SPECIFICALLY
FORCIVIL CASES
• Control time from filing to service
• Monitor receipt of answer or responsive pleading
• Case differentiation for track assignment and
management
• Early case scheduling conferences
• Trial date selected after all settlement options
explored for all but the most complex cases (12% max)
National Association for Court Management
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Case flow Management
PROVEN TECHNIQUES SPECIFICALLY
FOR CRIMINAL CASES
• Realistic Charging
• More Dispositions at or before arraignment in
general jurisdiction court
• DA, PD, Court Consultation on appropriate
processing track
• Every event meaningful
National Association for Court Management
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Case flow Management
PROVEN TECHNIQUES SPECIFICALLY
FOR CRIMINAL CASES
(continued)
• Early disposition of motions
• Plea cut off dates
• Trial dates scheduled only if needed, after all
settlement options explored
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Case flow Management
PROVEN TECHNIQUES FOR
MOTIVATING AND HELPING JUDGES
•
•
•
•
•
Chief judge should serve as role model
Structure - policies, meetings, involvement
System climate
Provide good information
Use peer and system pressure
National Association for Court Management
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Case flow Management
PROVEN TECHNIQUES FOR
MOTIVATING AND HELPING JUDGES
•
•
•
•
•
Provide orientation for new judges
Employ positive motivation
Include judges in staff meetings
Include lead and other staff in judge’s meetings
Do not waste time in meetings, provide staffing
and information
• Build team approach - regular meetings
• Hold meetings off-site
National Association for Court Management
69
Case flow Management
GROUP EXERCISE:
THE SAME OR BETTER JUSTICE SOONER:
DESIGNING COURT INTERVENTION
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Case flow Management
MANAGING TRIAL TIME*
• 65-75% of a judge’s time is spent in trial
• Trial time includes time scheduling, continuing,
and re-scheduling trials
• Judge and courtroom based staff time is the
most expensive resource in the court (about
$2,500 per day per courtroom)
• Trial time can be reduced by careful
management
•All material adapted from Dale Sipes et al, On Trial: The Lengths of Criminal and Civil Trials,
National Center for State Courts, 1989
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Case flow Management
THE MATH
10 minutes per hour saved by each judge in trial
4.5 hours per day on bench in trial on average
40.5 minutes per day saved per judge
8 judges
324 minutes per day
5.4 hours per day
Equals more than one new judge!
National Association for Court Management
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Case flow Management
PROFILE OF A TRIAL - 1
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Selection of the jury in jury trials
Plaintiff’s/prosecution’s opening statement
Defense’s opening statement
Plaintiff’s/prosecution’s evidence
Defense’s evidence
Plaintiff’s/prosecution’s rebuttal
Plaintiff’s/prosecution’s closing argument
Defense’s closing argument
Charge to the jury in jury trials
Submission of case to judge in a bench or jury trial
National Association for Court Management
73
Case flow Management
MEAN LENGTH FOR ALL TRIALS*
•
•
•
•
•
Civil Jury
13 hours 13 minutes
Criminal Jury
11 hours 7 minutes
Civil Non Jury
4 hours 54 minutes
Criminal Non Jury 3 hours 29 minutes
Plaintiff/prosecution from 2 to 2.7 times longer
than defense
• Capital cases and jury deliberation excluded
National Association for Court Management
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Case flow Management
CIVIL JURY TRIALS
National Association for Court Management
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Case flow Management
CAN TRIAL LENGTH BE
CONTROLLED?
Judges and attorneys overwhelmingly
believe that trial length can and should
be controlled
National Association for Court Management
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Case flow Management
TECHNIQUES
• Prevent repetitive questioning
• Define areas of dispute before trial
• Set time limits during trial
National Association for Court Management
77
Case flow Management
CONTROLLING TRIAL LENGTH
•
•
•
•
•
•
•
•
•
Pre-trial atmosphere
Trial continuity and length of trial day
Larger trials - more of everything
Examination of jurors
Witnesses
Exhibits
Length of testimony
Breaks
Interruptions
National Association for Court Management
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Case flow Management
LONG TRIALS
Long trials result when judges allow:
• More witnesses, exhibits, breaks, and interruptions
• Loss of trial momentum
• Trials and trial segments that go over breaks in morning,
afternoon, days, and weekends
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DCM PRINCIPLES
WHY NOT TREAT ALL CASES A LIKE?
• CASES ARE DIFFERENT
• SOME CASES MAY BE SLOWED TO THE
PACE OF ALL,WHILE OTHERS ARE PUSHED
MORE QUICKLY THAN JUSTICE REQUIRES
• CASES NEEDING A JUDGE’S MAY NOT GET
IT, WHILE CASES NOT NEEDING IT MAY BE
BROUGHT BEFORE A JUDGE
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DCM
Definition: Determination of the appropriate
level of court and attorney
attention that will move each case to
disposition in a just and efficient manner
Objective:
• Same or better justice sooner
• Eliminate waste and delay
• Reduce costs time and otherwise
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DCM AS TRIAGE
CRIMINAL EXAMPLE
Band Aid
Stitches
X-Rays
Diversion
Probation
Motions, bench trial
Surgery,
Long hospital
Stay, ICU
Jury trial
Compare welfare fraud to first degree murder
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DCM ELEMENTS
• Early case screening for complexity based on
established criteria
• Assignment to unique case tracks
• Different procedures for each case track
• Base assignment system on need by track
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BENEFITS OF DCM
•
•
•
•
Optimum use of ADR
Attorney required to give early attention to cases
Potential for reduced motion practice
Facilitates accurate trial scheduling by reducing
the number of cases not reached on trial day
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THREE GENERIC CASE TRACKS
Basic/Expedited
• Proceed to disposition w/ little or no court
oversight
• Monitorable non labor intensive events
• 20 – 25% of cases
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THREE GENERIC CASE TRACKS
Standard
• Contested issues with only modest need for
court or judicial hearings
• 65 – 70 % of cases
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THREE GENERIC CASE TRACKS
Complex
• Continuous and extensive judicial and court
oversight due to:
– Seriousness, size and complexity of issues,
– Visibility, identity and number of parties, and others
involved,
– Difficulty or novelty of legal and factual issues
• 0 – 5% of cases
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CRITERIA FOR CLASSIFYING CASES AS:
BASIC/SIMPLE/EXPEDITED
STANDARD
COMPLEX
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DCM MODEL APPLICATION
OLD: Designed for complex cases; no firm trial
dates; master calendar for 28 judges, minimal
accountability, continuances freely given;
usually set six trial dates then settle/disposed;
no discovery or other cut offs; all cases given
2 – 5 years to ripen
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DCM MODEL APPLICATION
NEW: New cases assigned to 7 of 28 judges using
individual calendar;
Accurate count of active pending cases; old cases
assigned to 21 judges with non complex cases
assigned to efficient judge; take control of all other w/
special attention to backlog cases and scheduling
orders for all cases, set time limits for response,
expedite mediation, final settlement conference
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DCM MODEL APPLICATION
New Cases: 7 Judge Pilot w/ 4 Tracks:
SHORT: 3 months discovery
REGULAR: 6 months discovery
LONG: 9 months discovery
EXCEPTION: Custom design for each case
Results
•
•
•
•
Of all cases 60 months or older only 18 went to trial
Reduced pending caseload from 31,000 to 21,000 in three years
As current pending cases were reduced the 21 judges assigned to the
“day backward” calendar were assigned to the new “day forward”
dockets and teams
In three years there were only 3,200 cases over 2 years old
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NEEDED CRIMINAL INFORMATION
• Bail recommendation
• Sentence guideline score based on current
offense and criminal history
• Urinalysis results
• Addiction severity index result
• Sanction guideline recommendation
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GROUP EXERCISE: DCM
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DEFINING
ANALYZING
AND
ATTACKING
BACKLOG
AND
STATISTICS
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CLEARANCE RATE
FILINGS/DISPOSITIONS
DEFINITION OF BACKLOG
The backlog is the number of cases in the
inventory that are older than the time standard
set by the court.
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BACKLOG ANALYSIS - 1
•
•
•
•
•
•
Court A – CRIMINAL
Annual Filings:
9,171
Dispositions Last Year:
10,380
Current Pending:
4,780
Time Standard:
6 months
Cases over 1 year old:
2,480
Pending Goal
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THE MATH
100 Filings
100 Pending Cases
Median Time to Disposition
100% Case
12 months
24 months
50 Pending Cases
Median Case
100 % Case
6 months
12 months
25 Pending Cases
Median Case
100 % Case
3 months
6 months
Pending Goal = Filings x .25 for each six months
4 Month Time Standard Filings x ______
2 month Time Standard Filings x ______
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BACKLOG ANALYSIS - 2
Court B – CRIMINAL
Annual Filings:
Dispositions Last Year:
Current Pending:
Time Standard:
Median age:
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9,171
8,048
1,841
6 months
81 days
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BACKLOG ANALYSIS - 3
Court C – CRIMINAL
Annual Filings:
9,171
Dispositions Last Year: 12,590
Current Pending:
3,450
Time Standard:
6 months
Median age at disposition: 628 days
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BACKLOG ANALYSIS - 4
Court D – CRIMINAL
Annual Filings:
9,171
Dispositions Last Year: 9,180
Current Pending:
2,140
Time Standard:
6 months
Median age at disposition: 94 days
Median age pending
84 days
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BACKLOG ANALYSIS - 5
Court E – CIVIL
Annual Filings:
28,100
Terminations Last Year: 22,380
Current Pending:
42,740
Time Standard
98% in 18 months
Number of judges
20
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BACKLOG ANALYSIS - 6
Court F – CIVIL
Annual Filings:
8,254
Terminations Last Year: 8,221
Current Pending:
7,537
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BACKLOG ANALYSIS - 7
Court G – CIVIL TRACK I
Annual Filings:
4,058
Terminations Last Year: 3,823
Current Pending:
3,277
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BACKLOG ANALYSIS - 8
Court H – ALL TRACKS
Annual Filings:
Terminations Last Year:
Current Pending:
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98,675
108,533
97,876
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BACKLOG ANALYSIS - 9
Court I – CIVIL TRACK II
Annual Filings:
Terminations Last Year:
Current Pending:
Time Standard 100%
Backlog
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4,734
4,590
3,866
18 months
465
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BACKLOG ANALYSIS - 10
Court J – CIVIL TRACKS III and IV
Annual Filings:
Terminations Last Year:
Current Pending:
Time Standard 100%
Backlog
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563
534
817
24 months
145
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BACKLOG ANALYSIS - 11
Court 11 – SPECIAL CIVIL AUTO AND
CONTRACT
Annual Filings:
Terminations Last Year:
Current Pending:
Time Standard 100%
Backlog
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16,866
15,750
2,574
4 months
80
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BACKLOG ANALYSIS - 11
Court I2 – SPECIAL CIVIL SMALL
CLAIMS and TENANCY
Annual Filings:
Terminations Last Year:
Current Pending:
Time Standard 100%
Backlog
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13,801
13,702
921
2 months
11
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ATTACKING AN EXISTING BACKLOG Determine the active pending caseload
• Administratively review all cases
• Formally close “dead” cases
• Announce the results
Determine status of remaining cases
• Send notices and determine if still active
• Case review by highly efficient judge
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ATTACKING AN EXISTING BACKLOG - 2
• Formulate plan for remaining cases
– Settlement conference and early disposition
– Deadlines and short schedules for intense judicial
attention
– Mediation and arbitration
– Extra resources for conducting trials in old cases
– Other staff requirements
– System for monitoring progress
• Implement effective docket management plan
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SYSTEMS APPROACH AND VISION
• Case flow management is not just the court; it’s
the whole system
• Everyone has to work together
• Include all individuals and agencies involved
• Obtain buy-in of all involved
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SYSTEMS APPROACH
Techniques
•
•
•
•
•
Cooperation
Commitment
Feedback
Program modifications
Small, continuous improvements
Result
• Maintain the docket without backlog
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ANTICIPATORY CASEFLOW
MANAGEMENT
•
•
•
•
•
Develop a vision of the future
Develop a mission and goals statement
Establish objectives
Set performance targets and indicators
Formulate implementation plans and
strategies
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THE IMPORTANCE OF
TEAMWORK
• No single person can make the system
work
• One person can cause the system to
fail
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WHY A TEAM APPROACH IS
MORE EFFICIENT
•
•
•
•
•
•
More motivation
More commitment
Team can withstand more stress
Team generates and sustains energy
More excitement and enthusiasm
Different perspectives in problem solving
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COURT PURPOSES AND VISION
Court leaders must understand court purposes and promote
vision and action throughout the court and justice community
organized around the impact caseflow management has on
justice. Acceptable court performance is impossible without
effective caseflow management.
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COURT PURPOSES AND VISION
Knowledge, Skills and Abilities
A
Knowledge of he Purposes and Responsibilities of the Courts
Curriculum Guidelines and how to apply them to caseflow
management;
B
Knowledge of the Trial Court Performance Standards, particularly
the Expedition and Timeliness and Equality, Fairness, and
Integrity Standards;
C
Knowledge of the inherent powers of the court, which give courts
the authority to set and enforce rules, including rules designed
to improve case processing;
D
Knowledge of the adversarial system and the values it supports;
E
Knowledge of judicial and court manager ethics and their relevance
to day-to-day caseflow management;
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COURT PURPOSES AND VISION
Knowledge, Skills and Abilities
F
Knowledge of the independent responsibilities of the three branches of government and how interactions
among the branches impact funding of caseflow management, timely pretrial, trial, and post-disposition
case processing, and the enforcement of court orders.
G
Ability to conceive, build, communicate, and implement a clear vision and sense of purpose for the court
and the justice system that incorporates caseflow and trial management;
H
Skill in developing, communicating, and using caseflow and trial management goals that flow from a
court- and justice system-wide vision and mission;
I
Ability to translate vision into effective public communications, promotional material, procedural
memoranda, and court rules to inform the public and the justice community about how caseflow
management improves the quality of justice.
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FUNDAMENTALS
Fundamentals include the relationship between the
purposes of courts and effective caseflow and trial
management, leadership, time standards, alternative
case scheduling and assignment systems, and case
management techniques, including differentiated case
management (DCM) and alternative dispute resolution
(ADR).
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FUNDAMENTALS
Knowledge, Skills and Abilities (Fundamentals)
A
Ability to link the broad purposes of courts to the goals of accessible, equal, fair, prompt, and economical
resolution of disputes and effective caseflow and trial management;
B
Knowledge of how the organization, jurisdiction, and funding of courts impact day-to-day caseflow
management;
C
Knowledge of how core management functions impact caseflow management including human
resources, budget and finance, information technology, records, and facilities;
D
Knowledge of case processing time standards and other caseflow management performance indicators;
E
Skill in tying time standards to the number and types of cases that must be processed to meet time to
disposition goals for all case types -- by year, month, week, day, and judicial division, team and
judge;
F
Knowledge of basic caseflow axioms and principles such as early and continuous judicial control and how
they produce timely and fair dispositions through staff and lawyer preparation and meaningful
events;
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FUNDAMENTALS
Knowledge, Skills and Abilities (Fundamentals)
G
Knowledge of all case processing steps, sequences, and dynamics for all case types,
including how lawyers, their clients, and pro se litigants make decisions
concerning filing, case processing, and settlement; and the economics of the
practice of law for criminal, civil, domestic relations, juvenile, traffic, administrative,
and appellate cases;
H
Knowledge of alternative case assignment and scheduling systems and how to set up
and manage daily court calendars by judge, type of case and hearing, day of the
week, and time of the day;
I
Knowledge of differentiated case management (DCM) and its application to all case
types;
J
Knowledge of alternative dispute resolution (ADR) and how to integrate ADR into the
court’s case management system(s);
K
Knowledge of psychological factors that impact case processing and scheduling, and
active judicial management of pre-trial conferences, trials, and post-dispositional
activity;
L
Ability to learn from others CFM successes and failures, to keep current with research
findings about effective CFM and the causes and cures for delay, and to leverage
available external resources to improve caseflow management.
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LEADERSHIP TEAMS AND SYSTEMWIDE EFFECTIVENESS
Court managers and the judge(s) in charge of the court
(including the judges who head specialized court
divisions) must work together to improve case
processing and jointly lead the court and justice system.
Understanding that while caseflow management requires
early and continuous court control of individual cases,
system-wide caseflow effectiveness is a cooperative
effort of public and private litigants and lawyers, law
enforcement, social services, health, detention and
correctional organizations, and judges and court staff.
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LEADERSHIP TEAMS AND SYSTEMWIDE EFFECTIVENESS
Knowledge, Skills and Abilities
A
Ability to create and maintain a court executive leadership team that
effectively addresses caseflow management;
B
Ability to develop effective CFM teams consisting of judges, court staff, and
others throughout the court and the justice system;
C
Knowledge of differing leadership styles and skills and how to build
caseflow management executive teams around judges and court
managers with diverse administrative experiences, interests, and
capabilities;
D
Knowledge of the agencies and individuals, both inside and outside the
court, with whom the court must work successfully to bring about
effective CFM and their independent CFM responsibilities and
objectives;
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LEADERSHIP TEAMS AND SYSTEM-WIDE
EFFECTIVENESS
Knowledge, Skills and Abilities
E
Skill in establishing and maintaining effective working relationships and finding
the right balance between oversight of others with independent case
management responsibilities, delegating authority to them, and micromanagement;
F
Ability to help court officials and others understand their roles in the larger
justice system and how they affect others, and to tie CFM to system-wide
benefits, costs, and consequences;
G
Skill and political acumen when working with funding authorities and the
executive branch to improve case processing;
H
Skill in allocating available resources and in preparing, presenting, lobbying, and
negotiating realistic budgets to improve caseflow management;
I
Knowledge of how to ensure the integrity of judicial orders, particularly
processes that enhance revenue (fee and fine) collection;
J
Ability to maintain effective partnerships among courts, the public and private
bar, community groups, and the executive and legislative branches, without
a loss of either the required tension between the branches or the
adversarial system.
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CHANGE AND PROJECT MANAGEMENT
Courts must skillfully and continuously evaluate
caseflow with qualitative information and data and
statistics, identify problems, and successfully build
support for implementing and managing change.
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CHANGE AND PROJECT MANAGEMENT
Knowledge, Skills and Abilities
A
Ability to forecast and anticipate societal and justice system changes
and trends that will impact filings and case processing;
B
Knowledge of data needed for both continuous systemic evaluation and
day-to-day caseflow management, and how to acquire and analyze
needed data;
C
Skill in using statistics and objective data as well as anecdotal information
when assessing CFM, drawing appropriate conclusions, and
differentiating between causes and effects when identifying and
diagnosing CFM problems and challenges;
D
Knowledge of basic strategic planning techniques including how to use
statistics to draw appropriate conclusions about the current status and
the future of the court’s caseflow and trial management system;
E
Ability to use data to inform and, as appropriate, to influence judges and
others about what is and is not working, and to persuade the bench,
staff, and justice system partners, when appropriate, of the need to
make changes and the feasibility of proposed solutions;
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CHANGE AND PROJECT MANAGEMENT
Knowledge, Skills and Abilities
F
Skill in mediation, conflict resolution, and creative problem solving when
addressing caseflow management challenges and needed change;
G
Ability to stimulate action and funding support through appropriate
comparisons and analyses, and to present data for maximum CFM
impact, education, and information;
H
Knowledge of the change process, how to plan change, and how to apply
sound project management principles and techniques to caseflow
management;
I
Skill in managing CFM projects personally and through others, including
those under and outside direct court control and supervision;
J
Ability to conceptualize, to gain funding, and to oversee court construction,
court renovation, and office and office furniture upgrades which
enhance caseflow management;
K
Skill in bringing about continuous evaluation with the understanding that
caseflow problems are never solved once and for all.
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TECHNOLOGY
Technology supports caseflow management through creation
and maintenance of records concerning case processing and
schedules, structuring management of pre-trial, trial, and
post-dispositional events, conferences, and hearings;
monitoring case progress; flagging cases for staff and judge
attention; enabling verbatim records of court proceedings;
and providing needed management information and
statistics.
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TECHNOLOGY
Knowledge, Skills and Abilities
A
Knowledge of the caseflow functions to which technology can be applied and
which caseflow problems can and cannot be solved through technology;
B
Ability to translate user information and experience into effective caseflow
technology applications and systems and to prepare succinct and focused
caseflow functional requirements;
C
Knowledge of the case management functional standards being developed by the
National Consortium on Court Automation Standards through NACM and the
Conference of State Court Administrators;
D
Ability to distinguish between fads and unstable hardware and software and
reliable caseflow technology;
E
Ability to lead technical people supporting caseflow management, whether inhouse, central judicial (e.g., administrative office), executive branch, or
outsourced and contractual;
F
Ability to evaluate contractor responses to caseflow technology RFIs (Requests
for Information) and RFPs (Requests for Proposals) and to get the right
answers to the right questions before signing a contract;
G
Knowledge of the uses and misuses of the Internet and web pages for caseflow
management;
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Case flow Management
TECHNOLOGY
Knowledge, Skills and Abilities
H
Knowledge of telecommunication options and their practical impacts on
caseflow management;
I
Skill in conveying the reasons for changes and technical information to
insiders and outsiders, including higher judicial authorities, funding
authorities and those who actually process and manage cases;
J
Knowledge of alternative methods to produce verbatim records of court
hearings, and their potential to expedite trial and appellate
processes;
K
Knowledge of technology to store, index and access archival and active
court records;
L
Ability to convince funding authorities of the need for caseflow
technology applications based on cost-benefit or other analysis, and
to complete funded projects on time and within budget;
M
Ability to stay current with the state of art and to update the court’s
application of hardware and software, to caseflow management and
to respect the fact that today’s technology innovation is inevitability
tomorrow’s tired solution.
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PERSONAL INTERVENTION
Court leaders need to personally intervene,
communicate, and negotiate to bring about just
and efficient case processing for all case types
from filing to closure and court event to court
event.
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Case flow Management
PERSONAL INTERVENTION
Knowledge, Skills and Abilities
A
Ability to think strategically about caseflow challenges and to act proactively to
address them by intervening at the right time with the right people;
B
Ability to inspire the trust and cooperation that is absolutely necessary to
improve caseflow management;
C
Ability to assess the needs, demands, desires, skills, and performance of
individual judges and to implement caseflow plans and programs that are
understood and supported by the judges;
D
Ability to model desired behaviors, particularly listening and teamwork with
judges, court staff, and justice system caseflow partners;
E
Ability to communicate CFM issues and goals clearly and concisely, both orally
and in writing;
F
Knowledge of the print and electronic media and what they need to cover court
processes, cases, and decisions fairly and effectively without interfering
with the process itself;
G
Skill in gaining positive media coverage of exemplary CFM projects and
achievements, and rewarding reporters for positive CFM coverage;
H
Ability to make decisions, to act decisively, and to exert leadership with respect
to caseflow management.
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