CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT
CURRICULUM TOOLBOX DRAFT VERSION 1.3
OCTOBER 2, 2006
2.5 DAY WORKSHOP
National Association for Court Management
300 Newport Avenue
WILLIAMSBURG, VIRGINIA 23185-4147
NACM
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OVERVIEW
CASEFLOW MANAGEMENT
Table of Contents
PAGES
OVERVIEW FOR PLANNERS AND POTENTIAL FACULTY
8-131
FACULTY QUALIFICATIONS ................................................................................... 3
TARGET AUDIENCE ................................................................................................ 3
LEARNING OBJECTIVES ...................................................................................... 3-4
WORKSHOP OVERVIEW .......................................................................................... 4
FACULTY SUGGESTED READINGS........................................................................... 5
PRE WORKSHOP ASSIGNMENT ............................................................................... 6
CURRICULUM EVALUATION ................................................................................... 7
2.5 DAY WORKSHOP NOTEBOOK
PAGES 8-39
TAB I .............................................................................................................. 8-23
LEARNING OBJECTIVES ..................................................................................... 9
WORKSHOP SCHEDULE ................................................................................... 10
FACULTY BIOS ................................................................................................ 13
PARTICIPANT LIST .......................................................................................... 14
WORKSHOP ORGANIZATION AND CASE PROCESSING FLOW CHARTS ........ 15-23
TAB II................................................................................................................. 24
WORKSHOP SLIDES
TAB III ......................................................................................................... 25-37
PRE WORKSHOP ASSIGNMENT ......................................................................... 26
GROUP EXERCISES .................................................................................... 27-37
TAB IV ......................................................................................................... 38-39
REFERENCES AND READINGS .......................................................................... 39
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OVERVIEW
CASEFLOW MANAGEMENT
OVERVIEW FOR PLANNERS AND POTENTIAL FACULTY
FACULTY QUALIFICATIONS
Workshop faculty can be seasoned practitioners, either judges or court managers, or
consultants/academics who are well versed with case management practices in courts of diverse
sizes and jurisdiction. Faculty must be thoroughly schooled in proven CFM practices and
research beginning with the 1978 NCSC Church et al study and skilled adult educators.
Caseflow management theory and principles will be applied to a variety of court settings and
case types. Use of faculty teams to overcome experience limitations concerning small or large
courts where the dynamics are quite different, or one or more prime case types (i.e. civil,
criminal, traffic, domestic relations and juvenile delinquency) is a good approach.
Group exercises and their debriefing are important workshop activities. The faculty must be
expert process facilitators and experienced enough content and experience wise to provide
guidance and meaningful feedback concerning many case types. Consequently, the faculty needs
to know the principles, which are relatively easy to convey and how they can be applied, which
is more difficult.
The faculty needs a good understanding of data requirements for study and improvement of case
processing. Faculty should not be amateurs concerning data collection and use of data. If the
participants do not include judges, the faculty must be able to represent judicial concerns and
perspectives particularly as regards case management as a justice, not an efficiency driven
activity.
TARGET AUDIENCE
The target audience is broad including elected and appointed court managers and staff with court
wide and departmental responsibilities as well as leadership judges. The best class composition
is a mix of court managers and judges.
LEARNING OBJECTIVES
1) Participants will assess and improve their knowledge, skill and ability (KSAs) using the
template of the Caseflow Management Curriculum Guidelines in particular the
Fundamentals Guideline.
2) Participants will apply and be able to articulate the conceptual and practical nexus where
court purposes and responsibility and caseflow management meet.
3) Define caseflow management and the critical case processing concepts and proven
principles and practices.
4) Assess their court’s case management system.
NACM
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OVERVIEW
CASEFLOW MANAGEMENT
5) Develop and plan implementation of new caseflow management programs including
judicial, staff and case assignment systems, and data collection and use of statistics and
data.
6) Design and implement differential case management (DCM).
WORKSHOP OVERVIEW
The workshop builds from the pre workshop assignment requiring a flow chart and current
statistics through exercises dealing with early and continuous control, the same or better justice
sooner, DCM and backlog and statistics. Following a brief faculty introduction and review of
the schedule, the participants will introduce themselves either individually—the usual approach
in national programs, or as a team—as in state programs. Participant introductions are framed by
three questions concerning the case type they are most concerned/interested in, the most serious
caseflow problem they face and the one issue they want to be sure is covered. Following the
introductions at national programs, the participants should be organized into tables of 4 to 6 with
members who share case type responsibilities and interests.
The 2.5-day workshop moves through eight modules:

Introductions, workshop organization and case processing flow charts

Purposes, local legal culture first principles, leadership, standards, information three
axioms and five principles and an early and continuous control group exercise

Calendaring and case assignment systems and an optional (depending on time) group
exercise

Early control and intervention, continuances, firm trial dates, proven techniques for all,
civil, and criminal cases and motivating judges followed by a group exercise dealing with
the same or better justice sooner and designing court intervention to close Day One.

Day Two begins with group reports followed by focus on managing trial time. NOTE: if
judges and staff who work with individual judges are not included among the workshop
participants, this module can be eliminated or truncated

DCM principles and an extensive DCM group exercise

Defining, analyzing, and attacking backlog and statistics supported by a group problem
and its debriefing

System approach, anticipatory case management, teamwork, self-assessment, future
learning needs and workshop close.
The workshop close returns to the participant needs identified in the opening. Some custom
design of content may be needed to respond to needs not included in the workshop materials.
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OVERVIEW
CASEFLOW MANAGEMENT
FACULTY READINGS
Caseflow Management Curriculum Guidelines, The Court Manager, Vol. 18, No. 2, 2003 also
available at the NACM Web site and the Core Competency Web page at
http://www.nacmnet.org./CCCG/cccg_homepage.html.
Differentiated Case Management, Bureau of Justice Assistant, June1993.
Ernest Friesen, Court Leaders: Survivors or Agents of Change?, The Court Manager, Vol. 15,
No 3, 2000, page 54 – 60.
Geoff Gallas and Gordon Griller, The Court Management Profession: Questions and Issues, The
Court Manager, Volume 19 Issue 2, 2004, pages 5 – 12.
William Hewitt, Geoff Gallas, and Barry Mahoney Courts That Exceed, National Center for
State Courts, 1993.
Barry Mahoney, How to Conduct a Caseflow Management Review, National Center for State
Courts, 1994.
Dale Sipes et al, On Trial: The Length of Civil and Criminal Trials, NCSC, 1988.
David Steelman, Caseflow Management: The Heart of Court Management, NCSC, 2000
revised in 2004. See also the excellent biography.
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OVERVIEW
CASEFLOW MANAGEMENT
PRE WORKSHOP ASSIGNMENT: FLOW CHART AND STATISTICS
Each participant or participant team is to complete two assignments prior to the
workshop and bring five copies to the workshop. If there is a team from one jurisdiction,
please work together to prepare one report under the supervision of the lead judge, or, if
a judge is not on your team, the lead court manager or his or her designee.
The first assignment prior to the workshop is to prepare a one-page flow chart of the
way one case type moves through your court. Unless otherwise discussed with the
faculty, the selected case type should be one of the following five case types: 1) traffic,
2) criminal felony and/or misdemeanor, 3) civil, 4) juvenile delinquency, or 5) domestic
relations. Pick the case type flow that you would most like to improve. Limiting your
visual to one page, start with the first event for your selected case type and include all
subsequent events in your one page flow chart.
The second assignment is use the below form to report Calendar (not Fiscal) statistics
for the one or more of the above five case types (traffic, criminal felony and/or
misdemeanor, civil, domestic relations, and juvenile delinquency) processed in your
court. Three Calendar Year statistics are required for each case type: Filings,
Dispositions, and Pending as of _______. As best you can also include your Target
Pending on ______ for each case type given the time standard for each case type and
the court’s calendar year ______ filings.
Calendar Year
Criminal
Civil
DR
Juvenile
Delinquency
FILINGS
Dispositions
Pending Cases
Target Pending
Cases
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OVERVIEW
CASEFLOW MANAGEMENT
CURRICULUM EVALUATION
The National Association for Court Management and the Curriculum Development Advisory
Committee are interested in feedback from faculty who use this curriculum. Please return this
form by facsimile, mail or email to:
Geoff Gallas, CCCG Program Director
444 Harvey Street
Philadelphia, PA 19144
215-951-2168; 215-951-2167 fax
gsgallas@aol.com
Name of Faculty:
Telephone No./Email:
Date of Workshop(s):
Workshop Court or Organization:
Number of Participants:
In general, how useful and effective is the IT Fundamentals Curriculum for Court Leaders?
1
2
3
4
Very useful and
effective
Moderately useful
and effective
Not very useful
Not useful or
helpful at all
Suggestions for curriculum organization and structure:
Please provide any comments or concerns about each of the following curriculum sections:
Overview:
2.5 Day or 1.5 Hour Workshop:
Exercises:
NACM
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OVERVIEW
CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT
2.5 DAY WORKSHOP
TAB I
SUMMARY, SCHEDULE, FACULTY,
AND PARTICIPANTS
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TAB I
CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT
LEARNING OBJECTIVES
1) Participants will assess and improve their knowledge, skill and ability (KSAs) using the
template of the Caseflow Management Curriculum Guidelines in particular the
Fundamentals Guideline.
2) Participants will apply and be able to articulate the conceptual and practical nexus where
court purposes and responsibility and caseflow management meet.
3) Define caseflow management and the critical case processing concepts and proven
principles and practices.
4) Assess their court’s case management system.
5) Develop and plan implementation of new caseflow management programs including
judicial, staff and case assignment systems and data collection and use of statistics and
data.
6) Design and implement differential case management (DCM).
NACM
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TAB I
CASEFLOW MANAGEMENT
WORKSHOP SCHEDULE
2.5-Day Program
DAY 1
8:00 – 8:30 AM
REGISTRATION
8:30 – 10:00 AM
WELCOME AND INTRODUCTIONS





Review Workshop Notebook and Schedule
Participant Concerns and Questions
Participant and General Case Processing Flow Charts
Purposes of Courts and Caseflow Management
Proven Practices and Principles I
– Local Legal Culture
– Principle 1 Court Control
10:00 – 10:15 AM
BREAK
10:15 AM – 12:00 PM
Proven Principles and Practices II
 Leadership
 Standards
 Information
 Three Axioms and Five Principles
Group Exercise Rule 2:507 and Group Reports
12:00 – 1:00 PM
LUNCH
1:00 – 2:30 PM
Calendaring Systems: The Basics
Case Assignment and Trial Back Up Systems Exercise
(optional)
Proven Practices and Principles III
2:30 – 2:45 PM
NACM

Early Court Intervention and Early Dispositions

Continuances

Firm Trial Dates
BREAK
10
TAB I
CASEFLOW MANAGEMENT
WORKSHOP 2.5 DAY SCHEDULE (Continued)
2:45 – 3:45 PM
Proven Principles and Practices III continued
 Setting Firm Trial Dates
 Controlling Continuances
 Proven Techniques, Review All Case Types and Civil
Cases
START GROUP EXERCISE: The Same or Better Justice
Sooner: Designing Court Intervention
3:45 – 4:00 PM
BREAK
4:00 – 4:30 PM
CONTINUE GROUP EXERCISE
After Class as needed
CONTINUE GROUP EXERCISE
DAY 2
8:30 – 10:15 AM
DAY ONE REVIEW AND GROUP REPORTS
Controlling Trial Time
DCM Principles
10:15 – 10:30 AM
BREAK
10:30 AM – 12:00 PM
GROUP EXERCISE: DCM
12:00 – 3:00 PM
WORKING LUNCH – Exercise Completion
GROUP REPORTS
3:00 – 3:15 PM
BREAK
3:15 – 4:30 PM
Defining, Analyzing and Attacking Backlogs and Statistics
GROUP EXERCISE: STATISTICS AND BACKLOG
GROUP REPORTS
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TAB I
CASEFLOW MANAGEMENT
WORKSHOP 2.5 DAY SCHEDULE (Continued)
DAY THREE
8:30 – 10:00 AM
Proven Principles and Practices VI System Approach and
Vision Anticipatory Caseflow Management Teamwork
10:00 – 10:15 AM
BREAK
10:15 AM – 12:00 PM
Self Assessment and Improvement Planning
Benediction
WORKSHOP CLOSE
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TAB I
CASEFLOW MANAGEMENT
Faculty Bio(s)
INCLUDE FACULTY BIO(S) HERE
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TAB I
CASEFLOW MANAGEMENT
Participants List
INCLUDE PARTICIPANT LIST HERE
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TAB I
CASEFLOW MANAGEMENT
THREE QUESTIONS
 My Case Type
 Biggest Problem CFM My (Our) Court
Faces
 One CFM Issue/Question I Want
Covered/Answered
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TAB I
CASEFLOW MANAGEMENT
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).
KNOWLEDGE, SKILLS AND ABILITIES
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 dayto-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;
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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PERSONAL
TAB I
CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT

Coordination of court processes and resources to
move cases timely from filing to disposition
regardless of the case type or the type of
disposition

Creation of case events, but most importantly…
management of the time between events

Long enough to allow preparation, short enough to
encourage preparation

Creation of a predictable system that sets
expectations and helps assure that required action
is taken
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TAB I
CASEFLOW MANAGEMENT
MODEL TRAFFIC FLOW CHART
Traffic (Must Appear, DUI, and Payable) Case Flow, Washington County, MD
Fallout Rate
100 TMA
100 DUI
100 TMA
100 DUI
82 TMA; 72 Payable
at 67 days
99 TMA
98 DUI
60 TMA; 46 Payable
at 90 days
Average scheduled time from Citation to Trial:
67-82 days
Trial Date set at Case and Docket Entry
Within 7 days;
usu. same week;
MD Rule 4-211
states “promptly”
Time Between
Events
Significant Events
NOTES
2002
Washington County
40% TMA; 56% DUI
within time standard.
FY03 – 894 cases
filed:
(1,493 – TMA)
(1,943 – 21-902)
Trial results based on
%factors in FY03
Traffic Case Activity
Report
* Note that Fallout
Rates are based on the
2002 Caseflow
Assessment and on the
average times between
each case event.
NACM
8B
8C
Motion to
Alter/Amend
Judgment
Appeal
Md Rule
4-331
30 –45 days
Within 30-45 days
8A
Motion for
New Trial
Md Rule 4-331
Judgment Enforcement
10 days after
entry of
judgment
Within 30 days of
judgment
Within 30
days of
Sentence
1
2
3
4
5
6
Traffic
Citation
Md Rule
4-201
Batch
Citation
Mailing
Case and
Docket Entry
TRIAL
Body Attach/
Bond/
License
Suspended
Sentence/
Probation/
Fine
Mailed directly to
Maryland Automated
Traffic System (MATS)
Processing Center by
law enforcement
agencies.
Case has not yet been
docketed.
Filing of Charging
Document
MD Rule 4-211
7% (63 cases) FY03
Jury Trial Prayer
Reassignment to
Circuit Court for Jury
Trial
MD Rule 3-505
Primary sanction
for non-payment
of fine or FTA at
trial/hearing.
Release after
conviction
MD Rule 4-349
Treated as Issuance of
Charging Document
according to
MD Rule 4-201
Cases considered
misdemeanor petty
offenses, unless arrest
made for associated
criminal charges (see
Criminal case process)
Citation and docket
entry at MATS
Trial date set in
coordination with
enforcement officers’
(witnesses) schedules
Traffic Payable
If Citation is paid by this
event, a trial is not
scheduled and the
defendant receives no
notice.
18
Md Rule
3-535
TAB I
Enforcement by
MD Civil Rules
3-631: 3-647
CASEFLOW MANAGEMENT
MODEL CRIMINAL FELONY FLOW CHART
Hidalgo County, Texas
FTA:
Failure to Appear
FALL-OUT
100
5% of
filings
100 remain
2 pleas
1A
2A
3
3A
Investigation
Warrant/
Summons
Grand
Jury
Indictment
Art. 21.01
TIME
BETWEEN
EVENTS
98
remain
5 pleas
45-70 days
Speedy Trial: Art. 32A.02. Sec. 1(1)
Max. 180 days set aside on motion
2 days (custody)
15 days (bond)
10 days
(custody)
15-30 days
(bond)
1
2
First
Appearance
15.17 Hearing
Advice of right to
counsel
__ % bail
__ % custody
Indictment/
Information
to District
Bond
Orders
Advice of charges
PROCESS
DETAIL
Set Bond or pretrial
release determination
Waiver of Indictment
(rare)
Grand Jury
meets 2-3
times/week
with 2-3 Grand
Juries
District Clerk
Notice/Precept
4
5
7
Arraignment
Art. 28.01 (1)
1st Pretrial/
Trial on the
Merits
Art. 28.01
Judgment and
Sentence
Art. 42.01
Waiver of
Indictment
Rarely waived
Defendant always
present, pleas
Advice of charges granted at hearing
Less than 2%
of cases
Advice of right to
Most motions day
counsel
of trial
Bond review/
reduction
97% jury trials,
Pre-Indictment
Appointment
of Counsel
98-99%
appointed
counsel
Settings for
competency
hearing, bond
reduction
In court noticing
Judge
determines
indigency,
pretrial
supervision
less than 3% bench
trials, small %
verdict by jury,
sentence by judge
Few continuances
(court dockets only
cases with counsel)
2nd Pretrial docket
for continuances
10-15 days out
Continuance
reasons:
NACM
Within __ days
Usu. day of
trial
Plea offer
within 10
days
JP or Municipal Court
ARREST
Police/
Sheriff
6A
Appeal
Notice
__ %
Within 90 days
Districts differ
48 hours
EVENTS
PROCESS
93
remain
88 pleas
2 FTA
2 cont.
1 trial
19
TAB I
PSI ordered—
few plea cases,
for MHEs and
restitution: Usu.
day of trial if no
PSI ordered
Pre-sentence
Report requires
3 weeks
__% of
convictions
referred for PSI.
8
Docket
Orders
Pay fine
Complete
probation
Serve time
CASEFLOW MANAGEMENT
MODEL CRIMINAL MISDEMEANOR FLOW CHART
PRINCE GEORGE’S COUNTY, MARYLKND
30-55 days
Criminal
Fallout Rate
47
Information
47
47
Simultaneous
Time Between
Events
Less than 1% of
total caseload
in FY2003
Criminal Cases
FY 2003
19,847
Summons 9,423
(47%)
Arrests 10,424 (53%)
30 days
Commissioner’s Office
1
Significant Events
37% Police
64% Citizens
State’s
Attorney
Screening
MD Rule 4-212
Assign District
Court case
number
Fallout Rate
All non-DV cases
citizens only
Screening may result
in Nolle Prosequi, but
case still active;
disposed at Motions
Hearing, defendant
presence not required
53
53
52
1 NP
2-8 hours (24 hours by statute)
2
3
Service of
Charging
Document
Preliminary
Inquiry
MD Rule 4-212
Return of Proof
of Service by
Sheriff
For all Summons
cases without arrest
warrant
1
Booking
Md Rule 4-211
10,424 new criminal
arrest cases in 2002
20,762 total arrests +
warrants & fugitives
2% (389) No probable
cause
39% ROR (released,
no bail)
Four Police
locations in
Prince George’s
County
No Service
results in
automatic Bench
Warrant
Md Rule
4-331
At 1 Trial
33 Dispos:
3 Plea or PBJ
14 NP
3 JTP
6 Stet
74 Cont.
10 days after
entry of
judgment
Md Rule
3-535
Md Rule 4-331
Within 30
days of
judgment
Within 30
days of
Sentence
Judgment Enforcement
4
6
(no video)
TRIAL
Plaintiff not required
MD Chapter
300
Sentence/
Probation/
Fine
30-45 days
2
2A
3
Initial
Appearance
Bond
Review
Preliminary
Hearing
Md Rule
4-213
Md Rule 4-216
Md Rule 4-221
10,424 in 2002
2% No probable cause
39% ROR (released,
no bail)
By Judge
MD Rule
4-216(6)(g)
MD Rule 4-221
Probable Cause
hearing by Judge for
Circuit Court felony
cases
All cases where
defendant is
incarcerated due
to non-payment
of bond or no
bail granted.
Usu. by video
Waivable/ 10 days
deferrable by
Defendant, most do
not defer (chance to
get atty.
Read charges;
Advice of rights to
counsel;
Release conditions
NACM
8C
Appeal
Advice of rights to
counsel
Reading of charges
Set trial date
1 day
Probable Cause
hearing by
Commissioner for
arrest cases w/o
warrant
8B
Motion to
Alter/Amend
Judgment
See Below:
8 Circuit
Within 30 days
Arrest
Significant Events
30-45 days
8A
Motion for
New Trial
st
Issue
Criminal
Summons
42% of total
criminal cases in
2002
Determination
made prior to
issuance of
summons
Primarily
misdemeanor
complaints
occasional felony
charges
Made by Citizens
and Police
10 days
2 days
Probable
Cause
Application
for Charges
Time Between
Events
57 Remain at 55 days
33 Remain at 90 days
11 remain (2%) at 260-days
46
1 NP
20
TAB I
MD Rule 4-301
Almost all criminal
cases go to trial. A
small few may be
Nolle Prosequi by
the State’s Atty. and
docketed earlier
than the trial date.
Circuit
Court
1,766 cases in FY
2003
8% forwarded to
Circuit Court
CASEFLOW MANAGEMENT
MODEL CIVIL FLOW CHART
CIVIL TRACKS I, II, III, AND IV: CAMDEN COUNTY, NEW JERSEY
33 cases
calendared
Fall Out
100
100
72
28 dismissed
16 original + 17
adjourned
33
16
12 settlements
17 dismissed
10 summary/default
judgment
5 settlements
9 dismissed
3 other
2 trial (dispo)
14 settle (dispo)
14 adjourn at call
3 placed on
Ready/Hold
Discovery
Time
Between
Events
Typically 60 days
No Rule for Answer;
15 days to issue
Summons by Rule;
Def. may file motion, but
unenforceable by Court
Discovery begins 90 days
after Service or at Answer,
whichever comes first
Track I: 150 days
Track II: 300 days
Tracks III & IV: 450 days
255-405 days
As early as
possible
60 days
after
Discovery
10 days
Process:
Significant
Events
1
2
Complaint
and CIS
Filed
Case
assigned to
Track
CIS: Complaint
Information
Statement
Team and
pretrial judge
assignment
Unknown:
% counsel
% pro se
Track
Assignment
Notice (TAN)
generated –
attached to
complaint
Track I: 34%
Track II: 61%
Track III: 4%
Track IV: 1%
Service of
Summons
Jurisdiction over
Oral argument to
Defendant obtained be confirmed by
court 2 days
Personal service of
summons, complaint, before return
date
CIS and TAN
Service by mail
Substituted service
Waiver of service or
voluntary appearance
45-75
days
30 days
3
Motions on
Svc, Comp,
Time to
Answer
60 days
60-180
days
6
7
Answer
Referral to
Mediation
Discovery
End Date
Arbitration
Scheduled
Arbitration
Complaint
for Trial De
Novo
Trial
Scheduled
Trial
Judgment
Order
Includes all
responsive
pleadings by
Defendant:
Answer, crossclaim, 3rd party
Mandatory
mediation for
13 Casetypes
from Tracks I, II
and III only
Entitled to oral
argument on
motion, if
requested.
Discovery
extended 60
days upon
application
Assigned by
Arbitration Team
Leader
Court-sponsored
Arbitration 80%90% of Tracks I,
II and III cases.
Approx. 60% of
Arbitration cases
file for Trial De
Novo.
Approx. 60% of
Arbitration cases
file for Trial De
Novo
150-180 cases
scheduled for
trial on a
Monday
calendar
New party
added, 60 days
added to
discovery
Track
assignment
disputes within
30 days by Def.
5
State-listed
mediator list.
Paid by parties
to mediation.
Mediator notifies
Court if
settlement
reached.
4
60% of cases
continued 1 time
on phone call.
Second
adjournment by
Arbitration
Judge.
One arbitrator
per case
Bar actively
involved.
Lack of Jurisdiction and Prosecution
Mediation
New Jersey SC Rule 1:13-7
4 months after Complaint, 60-days notice of
dismissal w/o prejudice;
6 months after Complaint, dismissal w/o prejudice;
No dismissal w/ prejudice
NACM
8
Appeal;
Motion to
Alter
Judgment
Track 1: 555-705 days
Track II: 705-855 days
Track III: 855-1,005 days
Filing to Trial
21
TAB I
Scheduled by
Civil Assignment
Office
st
nd
1 and 2
adjournments
routine by faxed
letter to Civil
Division
rd
Manager; 3
adjournment to
Presiding Judge
Adjournment to a
Monday calendar
w/in 60 days
Less than 30
adjourned up to
10 days prior;
30-60 routinely
adjourned on
live call (day of)
12 judges try 12 cases per
week; balance
settle or adjourn
50-50 split on
jury/bench trials
CASEFLOW MANAGEMENT
MODEL DOMESTIC RELATIONS FLOW CHART
DIVORCE/ANNULMENT/ALIMONY CASEFLOW: WASHINGTON COUNTY, MD
FALL-OUT *
100
cases
55
remain
85
remain
100
remain
30 remain
after 120 days;
20 remain after 170 days;
9 remain after one year.;
5 cases tried.
Contested: Average time to trial from Filing = 230 days; from Answer = 170 days
Uncontested: Average time from Filing = 180 days; from Answer = 120 days
Within 30 days
in state; 60 days
out of state; 90
days
international
Within 30 days in
state; 60 days out
of state; 90 days
international
TIME
BETWEEN
EVENTS
EVENTS:
PROCESS
* Note that Fallout
Rates are based on
the 2001 Caseflow
Assessment and on
the average times
between each case
event. In the study
Court, 5% of DR
cases were tried by
the court or by a
jury.
1
2
3
Filing/
Complaint
Md Rule
9-203
Summons and
Service
Md Rule
2-112
Answer
Md Rule
9-203
Info Sheet filed:
No. of issues;
complexity;
discovery and trial
length; no. of
experts
Sent to Sheriff the
next day after filing,
or to authorized
designee.
Bill for divorce,
annulment or
alimony
Financial
statements for
alimony,
maintenance,
support actions
May be by certified
mail or posting/
publication.
If not served, remains
dormant, renewal
upon plaintiff request
Dismissal after 120
days for lack of
prosecution on
defendant’s motion;
after 1 year for lack of
prosecution
Md Rule 2-507
NACM
Family Svcs.
Coord.
Review
9
4
5
6
7
8
Pendente Lite
Hearing
(Master)
Scheduling
Conference
(Multi day)
Settlement/
Pretrial
Conference
(Multi day)
Hearing/
Trial
Chapter 5
Decree
Md Rule
9-210
Entry of
Final
Decree
Compliance
with decree/
ordered
support
No decree
without
testimony
Md Rule
2-601
Expiration and
renewal of
money judgment
12 years from
date of entry or
most recent
renewal
Contested Divorce w/
One-day Trial: 120 days
Confessed
Judgment
Md Rule 2-611
Uncontested Divorce: 120 days
Referral to Masters
Md Rule
9-207
Uncontested
and numerous other
lesser matters
9C
Appeal
Md Rule
2-535
10 days after
entry of
Within 30 days
decree
30 days
Discovery
Core
Discovery
9B
Motion to
Alter/ Amend
Judgment
Md Rule 2-534
No more
than 90 days
Md Rule
9-208
Contested with counsel: 120 days or
more for complex cases.
Contested w/o counsel:
Same day – 120 days
45-60 days
9A
Motion for
New Trial
Md Rule
2-533
Md Rules
2-504.1/.2
Educational seminars
ordered for child support,
custody or visitation at
discretion of court
Financial
statements for
alimony,
maintenance,
support actions
Continuance
Md Rule 2-508
Jury Verdict
Md Rule 2-522
Up to 2, no more than 4
mediation sessions ordered
at discretion of court
Md Rule 9-205
Motion for Judgment
within 10 days of jury
verdict
Md Rule 2-532
Joint statements of marital
and non-marital property
Md Rule
9-206
22
Summary
Judgment
Md Rule 2-501
TAB I
Consent
Judgment
Md Rule 2-612
Default
Judgment
Md Rule 2-613
Lien of Money
Judgment
Md Rule 2-621
Md Rule
2-625
CASEFLOW MANAGEMENT
MODEL JUVENILE DELINQUENCY FLOW CHART
JUVENILE LAW VIOLATIONS (DELINQUENCY) CASE FLOW: FIRST JUDICIAL CIRCUIT, HAWAII
P.D. may be reassigned:
conflict determination
90-120 days
Formal Court Action
3-4 weeks
30-60 days
P.D. counsel of
record
Approx. 4
weeks
1-2 days
1
ARREST
Police
50-60%
Diverted
(by Police)
2
Referral to
Prosecutor
Prosecutor on
duty calendar.
Court
Management
Services (CMS)
usually flags rearrests on Master
Calendar on hard
copy and in
JUSTIS
(anomalous code)
to assign to
previous judge —
1 judge/1
juvenile.
Judges often mix
case types on the
same calendar to
ensure
appearance of an
assigned juvenile.
Prosecutor
prepares
Petition
Petition for
Waiver:
>14 years old,
tried as an adult.
Almost always
granted, usually
for high profile
cases
3
Referred to
Juvenile Intake
Case
Initiation
Formal or
Informal
Adjustment?
Court Officer assesses
using criteria.
Felonies, sex
offenses, graffiti,
recidivists, and denial
of guilt are automatic
formal process.
Referred to
Supervisor of
Law Violations
Unit for review
and assignment
of Court Officer.
20% of cases
1-2
weeks
Assessment
Interview:
4
Petition,
calendar A&P,
in CYS,
paperwork
(Arraignment &
Plea)
Child Admits?
Child/Family
interviewed by
Court Officer
from Juvenile
Intake and Public
Defender.
Child determines
plea.
Ct. Officer
recommendations
given to PD and
Pros.
4
Judge rules
Modified by court
clerk in courtroom.
Minutes &
Orders
If child does not
appear (FTA), a
summons is
issued and is
served by Police
(told to show up
2nd Monday and
Thursday. after
service). If 2nd
FTA, a warrant is
issued.
4A
Appointment
no
5A
Compliance:
Complete
Supervision
NACM
5
Trial
Judge rules/
orders
23
Recommendations
by C.O.s put into
SEER, 48 hours
prior to trial.
enters order
yes
Close case
no
Calendar and
Notice
Trial date set
Motions
Must be done
within 90 days of
arrest
Appt.
scheduled w/
Court Officer
Ct. Off.
supervision:
compliance
w/ Order
A&P
Hearing
yes
Informal Adjustment
Process
Child must admit
and sign Consent
Form/Order to
continue Informal
Adjustment
process.
Crt Officer keeps
case file;
completes/
documents referral
history.
Notice and
Interview
Letter
TAB I
Copies of Order
given to parties
immediately
(SEER)
If under court’s
supervision, case
transferred to
CYS Branch
Probation Officer
for monitoring.
6
Minutes &
Orders; Refer
to CYS Branch
Probation
Probation
Supervision
CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT
2.5 DAY WORKSHOP
TAB II
WORKSHOP SLIDES
The PowerPoint slide presentation together with the faculty notes for this 2.5-Day
Information Technology Workshop is posted with this document. These materials
can be printed for faculty use when delivering this course. A PDF version of these
PowerPoint slides is also posted for your convenience.
NACM
24
TAB II
CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT
2.5 DAY WORKSHOP
TAB III
PRE WORKSHOP AND GROUP EXERCISES
NACM
25
TAB III
CASEFLOW MANAGEMENT
PRE WORKSHOP ASSIGNMENT: FLOW CHART AND STATISTICS
Each participant or participant team is to complete two assignments prior to the
workshop and bring five copies to the workshop. If there is a team from one jurisdiction,
please work together to prepare one report under the supervision of the lead judge, or, if
a judge is not on your team, the lead court manager or his or her designee.
The first assignment prior to the workshop is to prepare a one-page flow chart of the
way one case type moves through your court. Unless otherwise discussed with the
faculty, the selected case type should be one of the following five case types: 1) traffic,
2) criminal felony and/or misdemeanor, 3) civil, 4) juvenile delinquency, or 5) domestic
relations. Pick the case type flow that you would most like to improve. Limiting your
visual to one page, start with the first event for your selected case type and include all
subsequent events in your one page flow chart.
The second assignment is use the below form to report Calendar (not Fiscal) statistics
for the one or more of the above five case types (traffic, criminal felony and/or
misdemeanor, civil, domestic relations, and juvenile delinquency) processed in your
court. Three Calendar Year statistics are required for each case type: Filings,
Dispositions, and Pending as of _______. As best you can also include your Target
Pending on ______ for each case type given the time standard for each case type and
the court’s calendar year ______ filings.
Calendar Year
Criminal
Civil
DR
Juvenile
Delinquency
FILINGS
Dispositions
Pending Cases
Target Pending
Cases
NACM
26
TAB III
CASEFLOW MANAGEMENT
EARLY AND CONTINUOUS CONTROL EXERCISE
RULE 2-507
DISMISSAL FOR LACK OF JURISDICTION OR PROSECUTION
(a) Scope.
This rule applies to all actions except actions the military docket and continuing trusts or
guardianships.
(b) For lack of jurisdiction.
An action against any defendant who has not been served or over whom the court has not
otherwise acquired jurisdiction is subject to dismissal as to that defendant at the expiration of
120 days from the issuance of original process directed to that defendant.
(c) For lack of prosecution.
An action is subject to dismissal for lack of prosecution at the expiration of one year from the
last docket entry, other than an entry made under this rule, except that an action for limited
divorce or for permanent alimony is subject to dismissal under this section only after two years
from the last such docket entry.
(d) Notification of contemplated dismissal.
When an action is subject to dismissal subject to this Rule, the clerk, upon the written request of
a party or upon the clerk’s own initiative, shall serve a notice on all parties that an order of
dismissal for lack of jurisdiction or prosecution will be entered after the expiration of 30 days
unless a motion is filed under this Rule.
(e) Deferral of dismissal.
On motion filed at any time before 30 days after service of the notice, the court for good reason
shown may defer entry of dismissal for the period and on the terms it deems proper.
(f) Entry of dismissal.
If a motion has not been filed under section (e) of this Rule, the clerk shall enter on the docket
“Dismissal for lack of jurisdiction or prosecution without prejudice” 30 days after service of the
notice. If a motion is filed and denied, the clerk shall make the entry promptly after the denial.
NACM
27
TAB III
CASEFLOW MANAGEMENT
Rule 2-507 Assignment
The Group is to review Rule 2-507 and be prepared to report on the following two issues:
1. Does 2-507 permit court control of case progress for civil and DR cases from filing to
service? If not, why not? From the completion of service to answer? If not, why
not? Following answer to subsequent case events? If not, why not?
2. Describe how a court could use Rule 2-507 to achieve increased early and continuous
court control over case progress on a short schedule for civil and DR cases? Describe
in concept how increased use of 2-507 would work? What would a court need to do
to implement this concept? Be specific.
NACM
28
TAB III
CASEFLOW MANAGEMENT
CASE ASSIGNMENT and TRIAL BACK UP SYSTEMS
1) Drawing on information in one of the flow charts prepared to this point and your
experience as starting points describe the court’s typical weekly and daily calendar. Draw
a picture or make a chart.
2) Discuss and list the three most important shortcomings in your court’s daily and weekly
calendars. When (what day and, if known, what time of the day) and where (what
courtroom) do calendars typically break down? When do judges sit idle when time and
courtrooms are available because of calendar breakdowns?
3) List practices that the court should seriously consider to improve, the way the court sets
cases on a weekly and/or daily basis.
4) What steps should the court take to improve its use of time and courtrooms? If possible,
draw a picture or make a table of a weekly calendar that describes the new approach(s).
Trial Back Up
The Group is to review and discuss: 1) how one court in their group backs up trials so as to
avoid resetting trials particularly on day trials are set; and, 2) their daily and weekly
calendars. Issues to be addressed in a short report include:
1) Describe how the court backs up trials both prior to the day the trial is set and on the day
trials are set for each case type. On average, how many trial settings are typical in your
court? Can these estimates be confirmed with firm numbers? If not how could you track
the typical practice?
2) What do we not know that we need to know to improve trial back up in this court?
3) Are you satisfied with this court’s ability to hold trials on the day they are scheduled?
How could the court improve trial back up? Briefly explain some steps we could take to
improve trial backup.
NACM
29
TAB III
CASEFLOW MANAGEMENT
THE SAME OR BETTER JUSTICE SOONER:
DESIGNING COURT INTERVENTION
Purpose
The purpose of this exercise is to give you experience in identifying the points where court
dispositions occur now for one type of case, analyzing these intervention points, and identifying
alternative court interventions toward achieving the same result for more cases sooner, with the
same or better justice.
DIRECTIONS
1. As a group, select someone to act as facilitator. This person’s job is not to come up with
answers, but to assure that everyone is given the change to contribute, that only one person
speaks at a time and the others listen, and that there is a group consensus at each step before
moving on.
2. As a group, select one type of case (civil, criminal felony or misdemeanor, juvenile
delinquency, domestic relations (dissolution) or traffic) using the flow chart from the court of
one of your group.
3. Begin by selecting one of the one-page flowcharts for the case type prepared prior to or at the
workshop as a starting point.
4. Refine the selected flowchart making sure to include all the key events for that case type
between filing and sentencing (for traffic and criminal) or disposition (for general civil and
domestic relations). Focus on the typical case, the one that occurs 75 to 80 percent of the
time. Do not chart the exceptional cases. Include all the events and points along the process
at which trial or non-trial dispositions occur.
5. Consider the calendar time involved between all case events and the percent of cases that are
currently disposed at each event. It will be up to the facilitator to assure that the discussion
does not go on too long, and that it does not get into every possible detail of the processing of
a case in the selected court.
6. As a group, reach consensus on how you could achieve the same results, sooner, with the
same or better quality of justice. Refine the flow chart and/or make a new flow chart to
reflect both the current and the improved case processing system.
7. As a group, prepare a 5- to 7-minute summary of your results, with supporting graphics on
the flowchart for both the current and the improved case processing system.
8. Expect to spend 45 minutes to one hour on this activity.
NACM
30
TAB III
CASEFLOW MANAGEMENT
PLANNING DIFFERENTIAL CASE MANAGEMENT (DCM)
Purpose
This exercise is designed to you an opportunity to apply the fundamental DCM
concepts to one case type.
Directions
1.
.
2.
As a group, select someone to act as facilitator. This person’s job is not to come up with
answers, but to assure that everyone is given the change to contribute, that only one person
speaks at a time and the others listen, and that there is a group consensus at each step.
Using all the information and the flow charts prepared to this point confirm the case type
and flow chart to be used in this exercise. You will be asked to report this choice to the
class and the faculty and to get approval of your focus before leaving class.
3.
Using the flow chart for the improved case processing system from the previous exercise,
specify no less than three sub case types for your general case type (criminal, civil, traffic
or domestic relations).
4.
Carefully define each of these three or more sub case types. Specify the estimated number
of these sub cases that are filed in the selected court each year. NOTE: Taken together the
three or more sub case types must include every case included in the general case type for
which case tracks are being designed.
5.
Discuss and chart the DCM case track for each of the sub case types. The chart must
include:





6.
When each sub case type and how many cases will enter each case track
The key events for each sub case type and case track including: the time between the
events and the number and percent of cases that will be disposed at and between the
case events for each case track
Be clear about how the court will monitor control over case progress for each case
track.
Be sure to include the overall disposition time standard for each case track. NOTE: The
intervals for the overall track disposition time cannot extend the proposed intervals
between events
Prepare a new flow diagram that clearly includes all sub case types and all case tracks.
As a group prepare a concise no more than ten- minute presentation summarizing your
results. Be sure your presentation describes: 1) what is new about what your DCM tracks;
and 2) how the court will assure court control of case progress.
NACM
31
TAB III
CASEFLOW MANAGEMENT
STATISTICS AND BACKLOG REDUCTION PLANNING
EXERCISE
This exercise is to undertaken in five steps. There will be reports from each
team on each step.
1)
Carefully consider your court’s available statistics for each of your case
tracks
2)
Can you reliably determine how many pending cases are over standard
that is, what the backlog for each case track? Can you now identify each
backlogged case in each case track or for each sub case type and case
track?
3)
Develop a plan to address existing problems with availability and
accuracy of data on filings, dispositions, pending cases, including the
total number and specific cases that are backlogged.
4)
Using the attached Form 1 estimate filings, dispositions, pending cases
and backlog for each of the your case tracks.
5)
Discuss and set your court’s goal for total pending cases and backlog for
each case track this year. Enter that number on the attached Form 1.
6)
Taking into consideration the rate that your court has been and can
dispose cases, set your courts pending case and backlog targets at yearend next year for each case track. Enter these goals and other
requested information on Form 2.
NACM
32
TAB III
CASEFLOW MANAGEMENT
STATISTICS AND
BACKLOG REDUCTION REPORT FORM
FORM 1
CASE TYPE NAME
Filings/Dispositions/Pending/Backlog
CURRENT YEAR
Track 1
NAME
Track 2
NAME
Track 3
Track 4
Filings
Dispositions
Pending
Pending
Goal Year
End
Backlog
Backlog
Goal Year
End
NACM
33
TAB III
CASEFLOW MANAGEMENT
FORM 2
Current and Next Year End
CASE TYPE:
Track 1
NAME
Track 2
NAME
Track 3
NAME
Track 4
NAME
Filings
Current
Pending
Year End
Current
Pending
Goal Next
Year End
Needed
Dispositions
Next Year
Backlog
Next Year
Backlog
Goal Next
Year
NOTES ON YEAR END GOALS AND PLANNING:
NACM
34
TAB III
CASEFLOW MANAGEMENT
NEEDED AND POSSIBLE IMPROVEMENTS
Taking into consideration what is realistic and best for the court, your team
and its members please describe a minimum of three promising
improvements.
1. Discuss the court’s performance and be prepared to answer the
following two questions. Put a summary on a transparency for
presentation.
 What general area(s) and case track(s) is (are) the one(s) with
the most serious shortcomings in the court? List three
promising and possible improvements on the attached work
sheet.
 What projects and changes could be carried out to address the
top shortcomings?
2. For each of the three most promising possible improvements use the
attached work sheet to: identify the steps you could take, who should
be responsible to complete these steps, and when you should start
and complete each step.
3. Consider and discuss what you need to learn/know more about to
take the above steps and/or to address any other important
management issues/problems?
NACM
35
TAB III
CASEFLOW MANAGEMENT
WORK SHEET: THREE MOST PROMISING POSSIBLE
IMPROVEMENTS
Lead Judge(s):
Staff Members:
IMPROVEMENT 1:
Implementation Steps
Responsible
Person(s)
Start Date
Stop Date
1
2
3
NACM
36
TAB III
CASEFLOW MANAGEMENT
IMPROVEMENT 2:
Implementation Steps
Responsible
Person(s)
Start Date
Stop Date
Responsible
Person(s)
Start Date
Stop Date
1
2
3
IMPROVEMENT 3:
Implementation Steps
1
2
3
NACM
37
TAB III
CASEFLOW MANAGEMENT
CASEFLOW MANAGEMENT
2.5 DAY WORKSHOP
TAB IV
REFERENCES AND READINGS
NACM
38
TAB IV
CASEFLOW MANAGEMENT
References and Readings
Caseflow Management Curriculum Guidelines, The Court Manager, Vol. 18, No. 2, 2003 also
available at the NACM Web site and the Core Competency Web page at
http://www.nacmnet.org./CCCG/cccg_homepage.html.
Differentiated Case Management, Bureau of Justice Assistant, June1993.
Ernest Friesen, Court Leaders: Survivors or Agents of Change?, The Court Manager, Vol. 15,
Issue 3, 2000, page 54 – 60.
Geoff Gallas and Gordon Griller, The Court Management Profession: Questions and Issues, The
Court Manager, Volume 19 Issue 2, 2004, pages 5 – 12.
William Hewitt; Geoff Gallas; and Barry Mahoney Courts That Exceed, National Center for
State Courts, 1993.
Barry Mahoney, How to Conduct a Caseflow Management Review, National Center for State
Courts, 1994.
Dale Sipes et al, On Trial: The Length of Civil and Criminal Trials, NCSC, 1989.
David Steelman, Caseflow Management: The Heart of Court Management, NCSC, 2000
revised in 2004. See also the excellent biography.
NACM
39
TAB IV