bja/au criminal courts technical assistance project differentiated case management in the general...

BJA/AU Criminal Courts Technical

Assistance Project

Differentiated Case Differentiated Case Management in the General Management in the General

and Limited Jurisdiction and Limited Jurisdiction Court SettingsCourt SettingsPresentation by: Judge Ronald TaylorPresentation by: Judge Ronald Taylor

Improving Criminal (and Civil) Case ManagementImproving Criminal (and Civil) Case Management


Assistance Project

Differentiated (Differential) Case Differentiated (Differential) Case Management (DCM)Management (DCM)

Questions We’ll Discuss Today:Questions We’ll Discuss Today:

What Is It?What Is It? What Does It Do For Me?What Does It Do For Me? How Does It Work?How Does It Work? What Are the Short-Term and Long-What Are the Short-Term and Long-

Term Benefits?Term Benefits?


Assistance Project

Definition of DCMDefinition of DCM

““A system of screening and A system of screening and differentiation of newly filed differentiation of newly filed cases designed to provide cases designed to provide individual case management, individual case management, predictable processing, fair and predictable processing, fair and timely disposition and a just timely disposition and a just result.”result.”


Assistance Project

Premise of DCMPremise of DCM

Because cases differ substantially in Because cases differ substantially in the time required for a fair and the time required for a fair and timely disposition, not all cases make timely disposition, not all cases make the same demands upon judicial the same demands upon judicial system resources.system resources.

Thus, they need not be subject to the Thus, they need not be subject to the same processing requirements.same processing requirements.


Assistance Project

DCM MethodologyDCM Methodology

Incoming cases screened and Incoming cases screened and assigned to one of several processing assigned to one of several processing categories (“Tracks”).categories (“Tracks”).

Impose distinctive timetables, Impose distinctive timetables,

intermediate events, deadlines and intermediate events, deadlines and disposition rates depending on pre-disposition rates depending on pre-established criteria.established criteria.


Assistance Project

What Could DCM Do For Me?What Could DCM Do For Me?

More effective and efficient use of system More effective and efficient use of system resources;resources;

More predictable and efficient case More predictable and efficient case disposition;disposition;

Better quality of justice;Better quality of justice; Improved interagency cooperation;Improved interagency cooperation; Improved public and attorney perception of Improved public and attorney perception of

the Court;the Court; Possible reduced jail utilization and Possible reduced jail utilization and

overcrowding; overcrowding; Possible cost savings.Possible cost savings.


Assistance Project

Major Strengths of DCMMajor Strengths of DCM Standard criteria, to which everyone can refer, for Standard criteria, to which everyone can refer, for

assessing complexity;assessing complexity;

Lawyers must focus on case characteristics, strengths and Lawyers must focus on case characteristics, strengths and weaknesses early through the process of nominating the weaknesses early through the process of nominating the cases for a track;cases for a track;

Instead of referencing deadlines to the disposition time Instead of referencing deadlines to the disposition time standards, deadlines are established sequentially based on standards, deadlines are established sequentially based on assessed needs of the case;assessed needs of the case;

““How much time DOES this case need for a just disposition?” How much time DOES this case need for a just disposition?” instead of “How much time CAN we spend on this case?”instead of “How much time CAN we spend on this case?”

Facilitates setting trial dates later in the process.Facilitates setting trial dates later in the process.


Assistance Project

Critical DCM Planning IssuesCritical DCM Planning Issues Defining Tracks to be Used:Defining Tracks to be Used:

Caseload Analysis Results – Distinguishing Caseload Analysis Results – Distinguishing Characteristics;Characteristics;

Determining procedures/events/deadlines of Determining procedures/events/deadlines of Differentiation;Differentiation;

Determining number and type of system tracks;Determining number and type of system tracks;

Determining degree of Court supervision necessary to Determining degree of Court supervision necessary to operate each track;operate each track;

Ongoing review/revision of tracking criteria.Ongoing review/revision of tracking criteria.


Assistance Project

Critical DCM Planning Issues Critical DCM Planning Issues (cont.)(cont.)

Case Screening:Case Screening:

Necessary information and method of Necessary information and method of acquisition;acquisition;

Who will do the actual screening and Who will do the actual screening and classification?classification?

When will cases be screened?When will cases be screened?


Assistance Project


Track Assignment:Track Assignment:

When will track assignment take place?When will track assignment take place?

Who will make track assignments?Who will make track assignments?

Degree of Attorney input and how obtained;Degree of Attorney input and how obtained;

Notification of track assignment;Notification of track assignment;

Availability of Attorney dispute of track Availability of Attorney dispute of track assignment.assignment.


Assistance Project


Case Management:Case Management:

Necessary management functions for Necessary management functions for monitoring case progress;monitoring case progress;

Role of automated information system;Role of automated information system;

Staff roles;Staff roles;

Judicial role.Judicial role.


Assistance Project


Program Assessment:Program Assessment:

Goals and Objectives of the Program;Goals and Objectives of the Program;

Monitoring progress toward goals of program;Monitoring progress toward goals of program;

What information necessary to measure?What information necessary to measure?

How information will be gathered;How information will be gathered;

Nature of periodic reports;Nature of periodic reports;

Who should receive progress reports?Who should receive progress reports?

Use of progress reports;Use of progress reports;

Mechanisms of necessary future modifications to program.Mechanisms of necessary future modifications to program.


Assistance Project


Interagency Coordination and Cooperation:Interagency Coordination and Cooperation:

Who is responsible for monitoring coordination?Who is responsible for monitoring coordination?

What information is necessary for monitoring?What information is necessary for monitoring?

Procedures necessary to increase/enhance Procedures necessary to increase/enhance coordination and cooperation.coordination and cooperation.


Assistance Project

Simple Three-Track Criminal DCM Simple Three-Track Criminal DCM ProgramProgram

Purpose of System: To assign cases to processing tracks Purpose of System: To assign cases to processing tracks by balancing the relative degree of complexity against by balancing the relative degree of complexity against established priorities as agreed between Court and established priorities as agreed between Court and counsel:counsel:

““A” Track (Fast Track): Cases characterized by high A” Track (Fast Track): Cases characterized by high established priorities and low to medium amount of established priorities and low to medium amount of complexity. No more than 90 days from initial appearance complexity. No more than 90 days from initial appearance to disposition by trial (if needed);to disposition by trial (if needed);

““B” Track (Medium or Normal): Cases not in either track B” Track (Medium or Normal): Cases not in either track “A” or “C”. Disposition by trial within 150 days of initial “A” or “C”. Disposition by trial within 150 days of initial appearance;appearance;

““C” Track (Complex): Cases having low priorities and/or C” Track (Complex): Cases having low priorities and/or medium to high amount of complexities. Disposition by medium to high amount of complexities. Disposition by trial within 210 days from initial appearance.trial within 210 days from initial appearance.


Assistance Project

Priority

Complexity

LowLow MediumMedium HighHigh

LowLow BB CC CC

MediumMedium BB BB BB

HighHigh AA AA BB

Simple Three-Track Criminal DCM Simple Three-Track Criminal DCM Program (cont.): Matrix ExampleProgram (cont.): Matrix Example


Assistance Project

EventEvent A A

(Expedited)(Expedited)B B

(Normal)(Normal)C C

(Complex)(Complex)

Supplemental Supplemental FilingsFilings 1414 1414 1414

Preliminary Preliminary Transcript FilingTranscript Filing 3030 6060 6060

Name added Name added WitnessesWitnesses 4040 7575 9090Discovery Discovery

CompletionCompletion 4545 9090 120120File Procedural File Procedural

MotionsMotions 5050 100100 130130Filing Substantive Filing Substantive

MotionsMotions 6060 125125 150150Completion- Psych. Completion- Psych.

ReviewReview ------ 9090 120120Status ConferenceStatus Conference 8383 143143 196196

Trial (Month)Trial (Month) 33 55 7 to 97 to 9

Criminal Scheduling Order TimetableCriminal Scheduling Order Timetable(From first appearance date)(From first appearance date)


Assistance Project

EventEvent ““A” Track A” Track

(Expedited)(Expedited)““B” Track B” Track

(Normal)(Normal)““C” Track C” Track

(Complex)(Complex)

Additional PartiesAdditional Parties 1 mo.1 mo. 1.5 mo.1.5 mo. TBD*TBD*

Physical Exam (if Physical Exam (if applicable)applicable)

3 mo.3 mo. 4.5 mo.4.5 mo. TBD*TBD*

Notification of Notification of ExpertsExperts

3.5 mo.3.5 mo. 5 mo.5 mo. TBD*TBD*

MediationMediation 4 mo.4 mo. 6 mo.6 mo. TBD*TBD*

Depose ExpertsDepose Experts 5 mo.5 mo. 6.5 mo.6.5 mo. TBD*TBD*

Rebuttal ExpertsRebuttal Experts 5.5 mo.5.5 mo. 7 mo.7 mo. TBD*TBD*

Close DiscoveryClose Discovery 7 mo.7 mo. 10.5 mo.10.5 mo. TBD*TBD*

Settlement Conf. Settlement Conf. (Approx.)(Approx.)

8 mo.8 mo. 11.5 mo.11.5 mo. TBD*TBD*

Trial Month Trial Month (Approx.)(Approx.)

9 mo.9 mo. 12.5 mo.12.5 mo. TBD*TBD*

Civil Scheduling Order TimetableCivil Scheduling Order Timetable(From first appearance date)(From first appearance date)

* “C” track cases (Complex): Scheduling to be determined at conference


Assistance Project

ABA Case Management Civil Time ABA Case Management Civil Time StandardsStandards

90% of Civil Cases need to be resolved in 12 months90% of Civil Cases need to be resolved in 12 months 98% of Civil Cases need to be resolved in 18 months98% of Civil Cases need to be resolved in 18 months 100% of Civil Cases need to be resolved in 24 months100% of Civil Cases need to be resolved in 24 months

12

90%

24

100%% Resolved 98%

18

Months to Disposition

Complaint

Service*Attorneys Confer (ADR)

Case Management Conf. (CMC)**

Settlement Conference

Comprehensive Pretrial Conf.

Trial

Answer

**The first case management conference is set 10 to 45 days after the date the answer is filed depending upon the complexity of the case.

CMC (2+)

*If proof of service is not filed within 60 days a letter is sent to plaintiff regarding placing case on the inactive calendar.

Civil Case Reverse TelescopeCivil Case Reverse Telescope


Assistance Project

ABA Standards: Caseflow ABA Standards: Caseflow Management and Delay ControlManagement and Delay Control

““A A strong judicial commitmentstrong judicial commitment is essential to reducing delay is essential to reducing delay and, once achieved, maintaining a current docket.”*and, once achieved, maintaining a current docket.”*

““To enable just and efficient resolution of cases, To enable just and efficient resolution of cases, the Courtthe Court, , not the lawyers or litigants, should control the pace of not the lawyers or litigants, should control the pace of litigation.”*litigation.”*

From commencement of litigation to its resolution, whether From commencement of litigation to its resolution, whether by trial or settlement, by trial or settlement, any elapsed time other than any elapsed time other than reasonably requiredreasonably required for pleadings, discovery and court for pleadings, discovery and court events, events, is unacceptableis unacceptable and should be eliminated.”* and should be eliminated.”*

Standards Relating to Trial CourtsStandards Relating to Trial Courts – American Bar Association, – American Bar Association, 1985 1985

*Emphasis added*Emphasis added


Assistance Project

General Caseflow StandardsGeneral Caseflow Standards Early and Continuous judicial supervision of case Early and Continuous judicial supervision of case

progressprogress

Assurance of credible hearing/trial datesAssurance of credible hearing/trial dates

Control of continuancesControl of continuances

Time standards for both time to case disposition and Time standards for both time to case disposition and times between key eventstimes between key events

Information systems to support case managementInformation systems to support case management

Continuous consultation with Bar and criminal justice Continuous consultation with Bar and criminal justice agenciesagencies

Improving Criminal CaseflowImproving Criminal Caseflow – Maureen Solomon, BJA 2008 – Maureen Solomon, BJA 2008


Assistance Project

DCM – Key ElementsDCM – Key Elements Analysis of caseload (existing and predicted)Analysis of caseload (existing and predicted)

Establishment of criteria for differentiation (priorities – Establishment of criteria for differentiation (priorities – complexities)complexities)

Establishment of processing paths (“Tracks”)Establishment of processing paths (“Tracks”)

Creation of appropriate Scheduling Orders based on Creation of appropriate Scheduling Orders based on screening of intakescreening of intake

Monitoring of case progressMonitoring of case progress

Adjustment of track assignment, scheduling and criteria as Adjustment of track assignment, scheduling and criteria as necessary to accommodate future needsnecessary to accommodate future needs

Monitoring of resultsMonitoring of results

bja/au criminal courts technical assistance project differentiated case management in the general...

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