CASEFLOW MANAGEMENT

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CASEFLOW MANAGEMENT
Date(s) Educational Program or
Sponsor Faculty 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 System Individual/Master Civil/Criminal TIME TO DISPOSITION
Strength of Case Management Civil/Criminal
Changing Process Indictment/Information
Speedy Trial Rule
Source Thomas Church et al, Justice Delayed,
NCSC, 1978.
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Proven Case Management Principles And Practices
5
SIN QUO NON
THE COURT IS RESPONSIBLE FOR SUPERVISING CASE
PROGRESS.
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ABA STANDARDS RELATING TO COURT DELAY REDUCTION
Standard 2.50 Case flow Management and Delay
Reduction General Principle
From the commencement of litigation to its
resolution, whether by trial or settlement, any
elapsed time other than reasonably required for
pleadings, discovery, and court events, is
unacceptable and should be eliminated. To enable
just and efficient resolution of cases, the
court, not the lawyers or litigants, should
control the pace of litigation. A strong
judicial commitment is essential to reducing
delay and, once achieved, maintaining a current
docket.
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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
MACRO

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

• RELATED GOALS
• Continuances
• Cases over standard

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Maryland Case flow Time Standards
Case Type Definition of Terms Definition of Terms Definition of Terms Definition of Terms Time Standard Additional Measurements
Case Type Case Time Start Case Time Suspension Case Time Suspension Case Time Stop Time Standard Additional Measurements
Case Type Case Time Start Suspend Re-Start Case Time Stop Time Standard Additional Measurements
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) Arrest/Service of Summons or Citation Date to Filing in Circuit Court Filing to First Appearance 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 Definition of Terms Definition of Terms Definition of Terms Time Standard Additional Measurements
Case Type Case Time Start Case Time Suspension Case Time Suspension Case Time Stop Time Standard Additional Measurements
Case Type Case Time Start Suspend Re-Start Case Time Stop Time Standard Additional Measurements
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 Filing 2. Petition Filing date to first appearance
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SAMPLE CASE-SPECIFIC TIME STANDARDS
Table 2 AMERICAN BAR ASSOCIATION TIME STANDARDS Table 2 AMERICAN BAR ASSOCIATION TIME STANDARDS Table 2 AMERICAN BAR ASSOCIATION TIME STANDARDS Table 2 AMERICAN BAR ASSOCIATION TIME STANDARDS
Time Within Which Cases Should be Adjudicated or Otherwise Concluded Time Within Which Cases Should be Adjudicated or Otherwise Concluded 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
Track Time 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 days Managing 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
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LEVEL I
Questions you must be able to answer for basic
CFM and docket management

• How many cases are filed each year?
• How many cases are pending?
• How many cases are pending on each judge team and
  each judges docket?
• How old are the pending cases?

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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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COMPARISONCASELOAD VS. WORKLOAD
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LEVEL III
Questions you must be able to answer for top
docket management efficiency

• How do the flow chart and the reverse telescope
  compare with court perceptions of the system?
• What are the trial probability rates for each
  type of case?
• Is judge time being efficiently utilized?
• What are the short- and long-term trends? Based
  on the data, what problems can be anticipated?
  What steps can be taken now to avoid future
  problems?

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LEVEL III(Continued)

• What are system strengths and weaknesses? What
  can be done to improve the system?
• What is the source of docket problems? Which
  cases are getting old? Why? Who is responsible?

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REVERSE TELESCOPE
CIVIL
2 Trial
5 Trial
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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 SYSTEMSTHE BASICS
Types of Case Assignment Systems

• Individual
• Master
• Team
• Hybrid

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INDIVIDUAL CALENDAR SYSTEM
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INDIVIDUAL CALENDAR ALLEGED STRENGTHS

• Autonomy and Responsibility
• Accountability
• Competition
• Motions Practice
• Continuity and Familiarity
• Eliminate Judge Shopping

Source Maureen Solomon, Case flow Management in
the Trial Court, ABA, 1973.
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MASTER CALENDAR SYSTEM
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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
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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
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HYBRID CALENDAR SYSTEM - 2
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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

Source Maureen Solomon, Case flow Management in
the Trial Court, ABA, 1973.
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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
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CAMDEN CIVIL DISPOSITIONS
2
Settlements 52
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OUR MANTRATHE SAMEOR BETTERJUSTICE 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
Source Maureen Solomon, Case flow Management in
the Trial Court, ABA, 1973.
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WORKLOAD EXPANSION DUE TO CONTINUANCES
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IMPACT OF DECREASED APPEARANCES PER CASE
119,223 Appearances _at_ 13 / case 45,855
Appearances _at_ 5 / case 73,368 Fewer Appearances
Mean . . .

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

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How to Multiply Your Workload
1st TRIAL DATE
2nd TRIAL DATE
3rd TRIAL DATE
THESE CONTINUANCES AFFECT
Files Prisoner Transportation Computer
Entries Jail Population Forms Prosecutor Schedulin
g Judge Defense 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 possible
• Goal Percentage of cases scheduled for trial
  not more than twice the actual trial rate.
• Set firm trial dates. Set Trial date when case
  is trial-ready after all pretrial matters have
  been resolved.
• Goal15 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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PROVEN TECHNIQUES SPECIFICALLY FOR CRIMINAL
CASES(continued)

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

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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 judges 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 judges 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
trial 4.5 hours per day on bench in trial on
average 40.5 minutes per day saved per judge 8
judges 324 minutes per day 5.4 hours per
day Equals more than one new judge!
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PROFILE OF A TRIAL - 1

• 1. Selection of the jury in jury trials
• 2. Plaintiffs/prosecutions opening statement
• 3. Defenses opening statement
• 4. Plaintiffs/prosecutions evidence
• 5. Defenses evidence
• 6. Plaintiffs/prosecutions rebuttal
• 7. Plaintiffs/prosecutions closing argument
• 8. Defenses closing argument
• 9. Charge to the jury in jury trials
• 10. 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
77
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

80
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 JUDGES MAY NOT GET IT, WHILE
  CASES NOT NEEDING IT MAY BE BROUGHT BEFORE A JUDGE

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

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

82
DCM AS TRIAGECRIMINAL EXAMPLE
Diversion Probation Motions, bench trial Jury
trial

• Band Aid
• Stitches
• X-Rays
• Surgery,
• Long hospital Stay, ICU

Compare welfare fraud to first degree murder
83
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

84
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

85
THREE GENERIC CASE TRACKS

• Basic/Expedited
• Proceed to disposition w/ little or no court
  oversight
• Monitorable non labor intensive events
• 20 25 of cases

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THREE GENERIC CASE TRACKS

• Standard
• Contested issues with only modest need for court
  or judicial hearings
• 65 70 of cases

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THREE GENERIC CASE TRACKS

• Complex
• Continuous and extensive judicial and court
  oversight due to
• Seriousness, size and complexity of issues,
• Visibility, identity and number of parties, and
  others involved,
• Difficulty or novelty of legal and factual issues
• 0 5 of cases

88

• CRITERIA FOR CLASSIFYING CASES AS
• BASIC/SIMPLE/EXPEDITED
• STANDARD
• COMPLEX

89
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

90
DCM MODEL APPLICATION
NEW New cases assigned to 7 of 28 judges using
individual calendar Accurate count of active
pending cases old cases assigned to 21 judges
with non complex cases assigned to efficient
judge take control of all other w/ special
attention to backlog cases and scheduling orders
for all cases, set time limits for response,
expedite mediation, final settlement conference
91
DCM MODEL APPLICATION
New Cases 7 Judge Pilot w/ 4 Tracks SHORT 3
months discovery REGULAR 6 months
discovery LONG 9 months discovery EXCEPTION
Custom design for each case

• Results
• Of all cases 60 months or older only 18 went to
  trial
• Reduced pending caseload from 31,000 to 21,000 in
  three years
• As current pending cases were reduced the 21
  judges assigned to the day backward calendar
  were assigned to the new day forward dockets
  and teams
• In three years there were only 3,200 cases over 2
  years old

92
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
94
DEFININGANALYZINGANDATTACKINGBACKLOGANDSTATI
STICS
95
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.

96
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

97
THE MATH

• 100 Filings
• 100 Pending Cases
• Median Time to Disposition 12 months
• 100 Case 24 months
• 50 Pending Cases
• Median Case 6 months
• 100 Case 12 months
• 25 Pending Cases
• Median Case 3 months
• 100 Case 6 months
• Pending Goal Filings x .25 for each six months
• 4 Month Time Standard Filings x ______
• 2 month Time Standard Filings x ______

98
BACKLOG ANALYSIS - 2

• Court B CRIMINAL
• Annual Filings 9,171
• Dispositions Last Year 8,048
• Current Pending 1,841
• Time Standard 6 months
• Median age 81 days

99
BACKLOG ANALYSIS - 3

• Court C CRIMINAL
• Annual Filings 9,171
• Dispositions Last Year 12,590
• Current Pending 3,450
• Time Standard 6 months
• Median age at disposition 628 days

100
BACKLOG ANALYSIS - 4

• Court D CRIMINAL
• Annual Filings 9,171
• Dispositions Last Year 9,180
• Current Pending 2,140
• Time Standard 6 months
• Median age at disposition 94 days
• Median age pending 84 days

101
BACKLOG ANALYSIS - 5

• Court E CIVIL
• Annual Filings 28,100
• Terminations Last Year 22,380
• Current Pending 42,740
• Time Standard 98 in 18 months
• Number of judges 20

102
BACKLOG ANALYSIS - 6

• Court F CIVIL
• Annual Filings 8,254
• Terminations Last Year 8,221
• Current Pending 7,537

103
BACKLOG ANALYSIS - 7

• Court G CIVIL TRACK I
• Annual Filings 4,058
• Terminations Last Year 3,823
• Current Pending 3,277

104
BACKLOG ANALYSIS - 8

• Court H ALL TRACKS
• Annual Filings 98,675
• Terminations Last Year 108,533
• Current Pending 97,876

105
BACKLOG ANALYSIS - 9

• Court I CIVIL TRACK II
• Annual Filings 4,734
• Terminations Last Year 4,590
• Current Pending 3,866
• Time Standard 100 18 months
• Backlog 465

106
BACKLOG ANALYSIS - 10

• Court J CIVIL TRACKS III and IV
• Annual Filings 563
• Terminations Last Year 534
• Current Pending 817
• Time Standard 100 24 months
• Backlog 145

107
BACKLOG ANALYSIS - 11

• Court 11 SPECIAL CIVIL AUTO AND CONTRACT
• Annual Filings 16,866
• Terminations Last Year 15,750
• Current Pending 2,574
• Time Standard 100 4 months
• Backlog 80

108
BACKLOG ANALYSIS - 11

• Court I2 SPECIAL CIVIL SMALL CLAIMS and TENANCY
• Annual Filings 13,801
• Terminations Last Year 13,702
• Current Pending 921
• Time Standard 100 2 months
• Backlog 11

109
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

110
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

111
SYSTEMS APPROACH AND VISION

• Case flow management is not just the court its
  the whole system
• Everyone has to work together
• Include all individuals and agencies involved
• Obtain buy-in of all involved

112
SYSTEMS APPROACH

• Techniques
• Cooperation
• Commitment
• Feedback
• Program modifications
• Small, continuous improvements
• Result
• Maintain the docket without backlog

113
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

114
THE IMPORTANCE OF TEAMWORK

• No single person can make the system work
• One person can cause the system to fail

115
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

116
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.
117
COURT PURPOSES AND VISION
Knowledge, Skills and Abilities
A Knowledge of he Purposes and Responsibilities of the Courts Curriculum Guidelines and how to apply them to caseflow management
B Knowledge of the Trial Court Performance Standards, particularly the Expedition and Timeliness and Equality, Fairness, and Integrity Standards
C Knowledge of the inherent powers of the court, which give courts the authority to set and enforce rules, including rules designed to improve case processing
D Knowledge of the adversarial system and the values it supports
E Knowledge of judicial and court manager ethics and their relevance to day-to-day caseflow management
118
COURT PURPOSES AND VISION
Knowledge, Skills and Abilities
F Knowledge of the independent responsibilities of the three branches of government and how interactions among the branches impact funding of caseflow management, timely pretrial, trial, and post-disposition case processing, and the enforcement of court orders.
G Ability to conceive, build, communicate, and implement a clear vision and sense of purpose for the court and the justice system that incorporates caseflow and trial management
H Skill in developing, communicating, and using caseflow and trial management goals that flow from a court- and justice system-wide vision and mission
I Ability to translate vision into effective public communications, promotional material, procedural memoranda, and court rules to inform the public and the justice community about how caseflow management improves the quality of justice.
119
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).
120
FUNDAMENTALS
Knowledge, Skills and Abilities (Fundamentals)
A Ability to link the broad purposes of courts to the goals of accessible, equal, fair, prompt, and economical resolution of disputes and effective caseflow and trial management
B Knowledge of how the organization, jurisdiction, and funding of courts impact day-to-day caseflow management
C Knowledge of how core management functions impact caseflow management including human resources, budget and finance, information technology, records, and facilities
D Knowledge of case processing time standards and other caseflow management performance indicators
E Skill in tying time standards to the number and types of cases that must be processed to meet time to disposition goals for all case types -- by year, month, week, day, and judicial division, team and judge
F Knowledge of basic caseflow axioms and principles such as early and continuous judicial control and how they produce timely and fair dispositions through staff and lawyer preparation and meaningful events
121
FUNDAMENTALS
Knowledge, Skills and Abilities (Fundamentals)
G Knowledge of all case processing steps, sequences, and dynamics for all case types, including how lawyers, their clients, and pro se litigants make decisions concerning filing, case processing, and settlement and the economics of the practice of law for criminal, civil, domestic relations, juvenile, traffic, administrative, and appellate cases
H Knowledge of alternative case assignment and scheduling systems and how to set up and manage daily court calendars by judge, type of case and hearing, day of the week, and time of the day
I Knowledge of differentiated case management (DCM) and its application to all case types
J Knowledge of alternative dispute resolution (ADR) and how to integrate ADR into the courts 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.
122
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.

123
LEADERSHIP TEAMS AND SYSTEM-WIDE EFFECTIVENESS
Knowledge, Skills and Abilities
A Ability to create and maintain a court executive leadership team that effectively addresses caseflow management
B Ability to develop effective CFM teams consisting of judges, court staff, and others throughout the court and the justice system
C Knowledge of differing leadership styles and skills and how to build caseflow management executive teams around judges and court managers with diverse administrative experiences, interests, and capabilities
D Knowledge of the agencies and individuals, both inside and outside the court, with whom the court must work successfully to bring about effective CFM and their independent CFM responsibilities and objectives
124
LEADERSHIP TEAMS AND SYSTEM-WIDE EFFECTIVENESS
Knowledge, Skills and Abilities
E Skill in establishing and maintaining effective working relationships and finding the right balance between oversight of others with independent case management responsibilities, delegating authority to them, and 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.
125
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.
126
CHANGE AND PROJECT MANAGEMENT
Knowledge, Skills and Abilities
A Ability to forecast and anticipate societal and justice system changes and trends that will impact filings and case processing
B Knowledge of data needed for both continuous systemic evaluation and day-to-day caseflow management, and how to acquire and analyze needed data
C Skill in using statistics and objective data as well as anecdotal information when assessing CFM, drawing appropriate conclusions, and differentiating between causes and effects when identifying and diagnosing CFM problems and challenges
D Knowledge of basic strategic planning techniques including how to use statistics to draw appropriate conclusions about the current status and the future of the courts 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
127
CHANGE AND PROJECT MANAGEMENT
Knowledge, Skills and Abilities
F Skill in mediation, conflict resolution, and creative problem solving when addressing caseflow management challenges and needed change
G Ability to stimulate action and funding support through appropriate comparisons and analyses, and to present data for maximum CFM impact, education, and information
H Knowledge of the change process, how to plan change, and how to apply sound project management principles and techniques to caseflow management
I Skill in managing CFM projects personally and through others, including those under and outside direct court control and supervision
J Ability to conceptualize, to gain funding, and to oversee court construction, court renovation, and office and office furniture upgrades which enhance caseflow management
K Skill in bringing about continuous evaluation with the understanding that caseflow problems are never solved once and for all.
128
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.
129
TECHNOLOGY
Knowledge, Skills and Abilities
A Knowledge of the caseflow functions to which technology can be applied and which caseflow problems can and cannot be solved through technology
B Ability to translate user information and experience into effective caseflow technology applications and systems and to prepare succinct and focused caseflow functional requirements
C Knowledge of the case management functional standards being developed by the National Consortium on Court Automation Standards through NACM and the Conference of State Court Administrators
D Ability to distinguish between fads and unstable hardware and software and reliable caseflow technology
E Ability to lead technical people supporting caseflow management, whether 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
130
TECHNOLOGY
Knowledge, Skills and Abilities
H Knowledge of telecommunication options and their practical impacts on caseflow management
I Skill in conveying the reasons for changes and technical information to insiders and outsiders, including higher judicial authorities, funding authorities and those who actually process and manage cases
J Knowledge of alternative methods to produce verbatim records of court hearings, and their potential to expedite trial and appellate processes
K Knowledge of technology to store, index and access archival and active court records
L Ability to convince funding authorities of the need for caseflow technology applications based on cost-benefit or other analysis, and to complete funded projects on time and within budget
M Ability to stay current with the state of art and to update the courts application of hardware and software, to caseflow management and to respect the fact that todays technology innovation is inevitability tomorrows tired solution.
131
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.
132
PERSONAL INTERVENTION
Knowledge, Skills and Abilities
A Ability to think strategically about caseflow challenges and to act proactively to address them by intervening at the right time with the right people
B Ability to inspire the trust and cooperation that is absolutely necessary to improve caseflow management
C Ability to assess the needs, demands, desires, skills, and performance of individual judges and to implement caseflow plans and programs that are understood and supported by the judges
D Ability to model desired behaviors, particularly listening and teamwork with judges, court staff, and justice system caseflow partners
E Ability to communicate CFM issues and goals clearly and concisely, both orally and in writing
F Knowledge of the print and electronic media and what they need to cover court processes, cases, and decisions fairly and effectively without interfering with the process itself
G Skill in gaining positive media coverage of exemplary CFM projects and achievements, and rewarding reporters for positive CFM coverage
H Ability to make decisions, to act decisively, and to exert leadership with respect to caseflow management.