CASEFLOW MANAGEMENT

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Case flow ManagementCase flow Management

National Association for Court Management

CASEFLOW MANAGEMENT

Date(s)

Educational Program or SponsorFaculty

2.5 Day Toolbox

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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.

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LOCAL LEGAL CULTURE INDEPENDENT DEPENDENT

Size of Court

Judges/Caseload Ratio

Trial/Settlement Practice

Calendaring SystemIndividual/Master

Civil/CriminalTIME TO DISPOSITION

Strength of Case ManagementCivil/Criminal

Changing ProcessIndictment/Information

Speedy Trial Rule

Source: Thomas Church et al, Justice Delayed, NCSC, 1978.

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Proven Case Management Principles And Practices

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THE COURT IS RESPONSIBLE FOR SUPERVISING CASE PROGRESS.

SIN QUO NON

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ABA STANDARDS RELATING TO COURT DELAY REDUCTION

Standard 2.50Case 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.

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THREE THINGS THAT COURTS MUST HAVE

• Leadership• Standards• Information Related to Standards

– Timely– Accurate– Clearly Presented– Used for Continuous Improvement

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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

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CHARACTERISTICS OF SUCCESSFULLY MANAGED COURTS

• Accountability

• Persistence

• Willingness to initiate change

• Continuity – Pet projects do not survive

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WHY MANY COURTS HAVE LEADERSHIP FAILURES

• Lack of leadership skills

• Lack of willingness to lead

• Frequent changes of leadership

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STANDARDS

• For the system as a whole

• For parts of the system

• For individual cases

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TYPES OF STANDARDS

• Filing to disposition all case types• Pending cases all case types

MACRO

MICRO• Time between events• Individual cases

RELATED GOALS• Continuances• Cases over standard

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Maryland Case flow Time StandardsCase Type Definition of Terms Time Standard Additional

MeasurementsCase Time Start Case Time Suspension Case Time Stop

Suspend Re-Start

Criminal First Appearance of defendant or entry of appearance by counsel (Rule 4-213)

Bench Warrant, Failure to Appear (FTA), Mistrial, NCR evaluation, petition for reverse waiver, competency evaluation, PSI ordered, pre-sentencing treatment program, interlocutory appeal

Reappearance, Retrial, determined to be criminally responsible, denial of reverse waiver, finding of competency, receipt of PSI, unsuccessful completion of pre-sentencing 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 Court2.Filing to First Appearance3.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, Court-ordered 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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Maryland Case flow Time Standards(continued)

Case Type Definition of Terms Time Standard Additional Measurements

Case Time Start Case Time Suspension Case Time Stop

Suspend Re-Start

Juvenile Delinquency

First Appearance of respondent or entry of appearance by counsel

Bench Warrant, Failure to Appear, Mistrial, NCR evaluation, petition for waiver, competency evaluation, Pre-Disposition Investigation Report ordered, pre-disposition treatment program, interlocutory appeal

Reappearance, Retrial, determination of NCR, finding of competency, decision on waiver, receipt of Pre-Disposition Investigation Report, unsuccessful completion of pre-disposition treatment program, appellate decision

Disposition · Jurisdiction Waived · Dismissal · Stet · Probation · Facts Sustained · Facts Not Sustained · NP

90 days (98%) 1. Original Offense date to Filing2. Petition Filing date to first appearance

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SAMPLE CASE-SPECIFIC TIME STANDARDS

Table 2AMERICAN 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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New Jersey Civil Time Standards

TrackTime Standard

Discovery

ACMS* Notice(Days before discovery ends)

Caveats

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

Track IV

24 months 450 days 60 daysManaging judge responsible

*ACMS is the automated case management system, which provides notices based on elapsed time in individual cases.

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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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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

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INFORMATION

• Timely

• Accurate

• Clearly Presented

• Used for Continuous Improvement

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CASEFLOW MANAGEMENT INFORMATION SYSTEMS: MONITORING LEVELS

Level IBasic Information

Level IBasic Information

Level IIFor Efficient Information

Level IIFor Efficient Information

Level IIIFor Top Management

Efficiency

Level IIIFor Top Management

Efficiency

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LEVEL I

• 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?

Questions you must be able to answer for basic CFM and docket management

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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?

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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?

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LEVEL II(Continued)

• How many appearances are there per case?

• How many appearances per case would there be if continuances were eliminated?

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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: _ _ _ _ _ _ _ _ _

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• 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?

LEVEL IIIQuestions you must be able to answer for top docket management efficiency

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• 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?

LEVEL III(Continued)

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5% Trial2% Trial

CIVIL

REVERSE TELESCOPE

80% Answered

60% At Issue

45% to ADR35% Settlement Conference

15% Pretrial 5% Trial Starts

97% Arraignment80% First Appearance/Preliminary Hearing

60% Pretrial Conference/Motions Hearing50% Begin Trial

15% Pleas On Trial Setting(s)

CRIMINAL

Cases Filed 100%

10% Trial Starts

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THREE AXIOMS

1. Lawyers settle cases, not judges

2. Lawyers settle cases when prepared

3. Lawyers prepare for significant events

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FIVE PRINCIPLES

1. Early control

2. Continuous control

3. On a short schedule

4. Be reasonably arbitrary

5. Create the expectation and reality that events happen when scheduled

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GROUP EXERCISE: EARLY AND CONTINUOUS CONTROL

RULE 2.507

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CALENDARING SYSTEMS:THE BASICS

• Individual

• Master

• Team

• Hybrid

Types of Case Assignment Systems

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INDIVIDUAL CALENDAR SYSTEM

Motions

PretrialConferences

Dispositions

Motions

PretrialConferences

Dispositions

Motions

PretrialConferences

Dispositions

Motions

PretrialConferences

Dispositions

Motions

PretrialConferences

Dispositions

Judge Judge Judge Judge Judge

Cases Filed

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INDIVIDUAL CALENDAR ALLEGED STRENGTHS

• Autonomy and Responsibility

• Accountability

• Competition

• Motions Practice

• Continuity and Familiarity

• Eliminate Judge ShoppingSource: Maureen Solomon, Case flow Management in the Trial Court, ABA, 1973.

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MASTER CALENDAR SYSTEM

Disposition

Judge Judge Judge Judge Judge

Cases Filed

Disposition Disposition Disposition Disposition

Master Calendar JudgePretrials

ArraignmentsMotions

Continuances

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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.

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Team Calendar System

Team 1

Team 2 Team 3

Assigned to Team

Cases Filed

Master Calendar Judge Master Arraignment(Rotating)

TrialJudge

TrialJudge

Judge 1 Judge 2 Judge 3

TrialJudge 3

TrialJudge 2

TrialJudge 1

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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

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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

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HYBRID CALENDAR SYSTEM - 1

Motions Judge

Cases Filed

PRETRIAL EXAMINER

READY-FOR-TRIAL STATUS

Disposition Disposition Disposition Disposition Disposition

Motions Motions Motions Motions Motions

Pretrial Conference If

Not Held Earlier*


Not Held Earlier*


Not Held Earlier*


Not Held Earlier*


Not Held Earlier*

Motions Filed

Pretrial Conference Requested

Notice of Issue Filed

To Judge

To Judge

To Judge

To Judge

To Judge

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HYBRID CALENDAR SYSTEM - 2

To Judge

To Judge

To Judge

To Judge

To Judge

Cases Filed

CENTRAL TRIAL POOL

Ready-for-Trial Status





Motions Motions Motions Motions

Pretrial Conference

Pretrial Conference

Pretrial Conference

Pretrial Conference

Trial Date

RandomAssignment

Assigned by Assignment

Office

To Judge

To Judge

To Judge

To Judge

To Judge

Disposition Disposition Disposition Disposition Disposition

Motions

Pretrial Conference

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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

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HYBRID CALENDAR WEAKNESSES

• More complex therefore more difficult to monitor

• Requires an effective automated information system because so much monitoring is required

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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


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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

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EARLY COURT INTERVENTION AND

EARLY DISPOSITIONS

TrialNon-trial

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CAMDEN CIVIL DISPOSITIONS

2%

Trial

All other Dispositions 98%

Dismissals 27%

Default & Summary Judgments 9%Other 10%

Settlements 52%

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OUR MANTRA

THE SAME

OR BETTER

JUSTICE

SOONER

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GUIDELINES FOR EARLYNON-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)

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CONTROLLING CONTINUANCES

No system will work if continuances are allowed.

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THE CONTINUANCE CONUNDRUM

When low on list attorneys may not

prepare case & have witness

present

Usually cases low on list are not

reached for trial

Court schedules unrealistically high number of cases

Too few ready cases to keep judges busy

Due to unreadinessAttorneys request

continuance

Court routinely grants continuance


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WORKLOAD EXPANSION DUE TO CONTINUANCES

Filings9,171

45,855 Appearancesif 5 per filing

9,622 Dispositions

119,223 Appearances if13 Appearancesper filing

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IMPACT OF DECREASED APPEARANCES PER CASE

• Better use of judicial resources and time• Less work for court personnel• Reduced attorney load• Reduced litigant inconvenience• Reduced costs

119,223 Appearances @ 13 / case45,855 Appearances @ 5 / case73,368 Fewer Appearances Mean . . .

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How to Multiply Your Workload

1stTRIAL DATE

2ndTRIAL DATE

3rdTRIAL DATE

THESE CONTINUANCES AFFECT … Files Prisoner TransportationComputer Entries Jail PopulationForms ProsecutorScheduling JudgeDefense Staff

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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

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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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MORE REASONS WHY TRIALS DO NOT OCCUR ON SCHEDULED

DATES

Is this for participants to make suggestions?

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GUIDELINES FOR SETTING FIRM TRIAL DATES

• Schedule as few cases for trial as possibleGoal: 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

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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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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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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

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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

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TARGET CONTINUANCES RATE

Goal: Continuance rate of 15% or less per scheduled court event including trial settings

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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

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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 (1-2% max)

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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

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• Early disposition of motions• Plea cut off dates• Trial dates scheduled only if needed, after all

settlement options explored

PROVEN TECHNIQUES SPECIFICALLY FOR CRIMINAL CASES

(continued)

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PROVEN TECHNIQUES FORMOTIVATING AND HELPING JUDGES

• Chief judge should serve as role model• Structure - policies, meetings, involvement• System climate• Provide good information• Use peer and system pressure

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PROVEN TECHNIQUES FORMOTIVATING 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

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GROUP EXERCISE:

THE SAME OR BETTER JUSTICE SOONER: DESIGNING COURT INTERVENTION

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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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THE MATH

10 minutes per hour saved by each judge in trial4.5 hours per day on bench in trial on average40.5 minutes per day saved per judge8 judges324 minutes per day5.4 hours per dayEquals more than one new judge!

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PROFILE OF A TRIAL - 1

1. Selection of the jury in jury trials2. Plaintiff’s/prosecution’s opening statement3. Defense’s opening statement 4. Plaintiff’s/prosecution’s evidence5. Defense’s evidence6. Plaintiff’s/prosecution’s rebuttal7. Plaintiff’s/prosecution’s closing argument8. Defense’s closing argument9. Charge to the jury in jury trials10. Submission of case to judge in a bench or jury trial

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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

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CIVIL JURY TRIALS

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CAN TRIAL LENGTH BE CONTROLLED?

Judges and attorneys overwhelmingly believe that trial length can and should be controlled

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TECHNIQUES

• Prevent repetitive questioning

• Define areas of dispute before trial

• Set time limits during trial

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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

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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

Objective: • Same or better justice sooner• Eliminate waste and delay• Reduce costs time and otherwise

Definition: Determination of the appropriate level of court and attorneyattention that will move each case to disposition in a just and efficient manner

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DCM AS TRIAGECRIMINAL EXAMPLE

Band Aid Stitches X-Rays Surgery,Long hospital

Stay, ICU

Diversion

Probation

Motions, bench trial

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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Standard

• Contested issues with only modest need for court or judicial hearings

• 65 – 70 % of cases

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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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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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New Cases: 7 Judge Pilot w/ 4 Tracks:SHORT: 3 months discoveryREGULAR: 6 months discoveryLONG: 9 months discoveryEXCEPTION: 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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DEFININGANALYZING

ANDATTACKINGBACKLOG

ANDSTATISTICS

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CLEARANCE RATEFILINGS/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 MATH100 Filings

100 Pending CasesMedian Time to Disposition 12 months100% Case 24 months

50 Pending CasesMedian Case 6 months100 % Case 12 months

25 Pending CasesMedian Case 3 months

100 % Case 6 months

Pending Goal = Filings x .25 for each six months4 Month Time Standard Filings x ______2 month Time Standard Filings x ______

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Court B – CRIMINAL

Annual Filings: 9,171

Dispositions Last Year: 8,048

Current Pending: 1,841

Time Standard: 6 months

Median age: 81 days

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Court C – CRIMINAL




Time Standard: 6 monthsMedian age at disposition: 628 days

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Court D – CRIMINAL




Time Standard: 6 months

Median age at disposition: 94 days

Median age pending 84 days

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Court E – CIVIL


Terminations Last Year: 22,380


Time Standard 98% in 18 months

Number of judges 20

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Court F – CIVIL




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Court G – CIVIL TRACK I




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Court H – ALL TRACKS




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Court I – CIVIL TRACK II

Annual Filings: 4,734Terminations Last Year: 4,590Current Pending: 3,866Time Standard 100% 18 monthsBacklog 465

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Court J – CIVIL TRACKS III and IV

Annual Filings: 563Terminations Last Year: 534Current Pending: 817Time Standard 100% 24 monthsBacklog 145

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Court 11 – SPECIAL CIVIL AUTO AND CONTRACT

Annual Filings: 16,866Terminations Last Year: 15,750Current Pending: 2,574Time Standard 100% 4 monthsBacklog 80

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Court I2 – SPECIAL CIVIL SMALL CLAIMS and TENANCY

Annual Filings: 13,801Terminations Last Year: 13,702Current Pending: 921Time Standard 100% 2 monthsBacklog 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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Knowledge, Skills and AbilitiesA 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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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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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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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 SYSTEM-WIDE 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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Knowledge, Skills and AbilitiesA 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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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 micro-management;

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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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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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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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 in-house, 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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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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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.

PERSONAL INTERVENTION

CASEFLOW MANAGEMENT

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