Early Case Early Case AssessmenAssessmen

ttPilot Pilot

ProgramProgramU.S. U.S. DepartmeDepartment of the nt of the InteriorInterior

Early Case Assessment

A pre-determined, systematic, and uniform process used to evaluate claims and ensure appropriate, efficient, and cost effective dispute resolution.

Improved internal and external relationships

Improved communication between client agencies, the solicitors’ offices, the DOI offices and the DOJ

Improved ability to recognize and identify dispute/claim patterns

Better decision-making processes when faced with similar issues in future disputes

Early Case Assessment

Program Benefits

Appropriate evaluation of suitability of cases for ADR or litigation

Consistent approaches to matter types Effective identification and evaluation of

legal/litigation trends Decreased discovery needs Reduced “claim-through-resolution”cycle time Increased structural and operating efficiencies

Early Case Assessment

Program Benefits (cont.)

Early Case Assessment

Program Benefits (cont.)Reduction in caseload

Increase in ability to develop creative solutions that satisfy more needs

Confidentiality maintainedPossible avoidance of negative

publicity Less management time associated

with disputes

“Because conflicts and disputes can interfere with the accomplishment of our missions, a successful

executive should deal with such situations effectively and efficiently, using a wide range of

conflict management tools to enhance consultation, cooperation and communications. ”

Excerpt from Secretary Gail Norton’s Memorandum regarding SES Performance Agreements - April 5, 2001

DOIDepartmental Goals

Goal of the Early Case Assessment Pilot

Program:To provide client agencies, solicitor’s office

and, when necessary, the DOJ, with the key factual, legal and “next step” information to

enable them to make informed decisions regarding disputes, claims and litigation in order to reduce volume and cycle time and

to achieve successful resolutions

Goals and Objectives

Facilitate dispute prevention, identification and earlier resolution

Create a process where ADR is routinely applied Maximize efficient use of all resources Enhance control over decision-making for

solicitors and client agencies Expand role and capability of solicitor to be

dispute resolution specialist

Goals and Objectives

(cont.) Provide opportunities for clients to use ADR to

resolve disputes quickly, fairly, and efficiently Resolve conflict in a manner that satisfies as

many parties as possible Reduce case load and corresponding workload

Early Case Assessment Pilot Program

National Parks

Project Status

January 2001: Needs Assessment Initiated February 2001: Needs Assessment Completed

Report and RecommendationsSubmitted for Consideration

March/April 2001:Report and Recommendations Reviewed by DOI,

Washington and Atlanta Regional Solicitor’s Office

May 2001: Atlanta Regional Solicitor’s Office Begins Implementation of

Early Case Assessment Pilot Program

ECA Creates Opportunities for

Cooperation, Consultation and CommunicationECA Process Facilitates:

Coordination of activities of multiple parties

Inter-agency cooperationIncreased communication

between groups and agenciesIdentification of all

stakeholders and interests affected by dispute

More efficient use of resources

Bringing Departmental Goals to the ECA

Program Implementation

“Consultation, cooperation and communication between the Atlanta Regional Solicitor’s Office, its Clients, the

DOJ, and Washington DOI Representatives is essential for successful implementation of the Early Case

Assessment Program.”

National Parks

Implementation of ECA Pilot Program

ECA Pilot Team must focus on:

Dispute Identification Analysis Resolution Flexibility and

Communication

Recommended DOI Early Case Assessment Process Flowchart

The Atlanta Regional Solicitors should encourage and model increased early communication to facilitate the compilation and analysis of data.

Dispute identified

Responsibilities assigned and time frames confirmed

Data elementscompiled & analyzed

Early abbreviated

factual review

Early abbreviated legal review

Review of relevant

Department historical

experience

External & internal

economic analysis

Program Administrator

records matter & ECA process

initiated

ECA Reportcompleted within:

Resolution strategy and/or

dispute management plan discussed andimplemented within

30 days of ECA report

“Lessons Learned” conducted

by responsible solicitorwithin 30 days

of final disposition

If matter not resolved, ECAReport updated regularly as

new information becomes available and ECA Report

forwarded to DOJ

Review of general

historical information

Analysis of non-

economic risks/

benefits

Early abbreviated

damages analysis

Contracts:90 days

ESA CivilPenalty: 60 days

HCPs:60 days

NRDs:150 days

Torts:90 days

Land Issues:90 days

ImplementationDispute Identification

Matters Referred to the Pilot ProgramContractsESA Civil PenaltyHabitat Conservation PlansNatural Resources DamagesLand Use IssuesTortsAny other matters deemed appropriate by

the Regional Solicitor’s Office

Matter-specific early abbreviated factual review

Matter-specific early abbreviated legal analysis

Matter-specific early abbreviated damages assessment

Review of relevant Department historical experience

Review of general historical experience

Data Elements Dispute Analysis

External and internal economic analysis, including time valuation of personnel

Analysis of non-economic risks/benefits, including policy considerations

Other relevant matter-specific or general information

Recommendation for resolution strategy, which may include dispute resolution selection screens

Early Warning System Insight

Data Elements (cont.) Dispute Analysis

Administration and Follow –

ThroughThe ECA Program Administrator:

– Initiates ECA for each matter– Facilitates ECA process from start to

finish– Ensures “decision makers’ package” is

compiled– Coordinates early resolution efforts– Tracks evaluations and prepares reports– Coordinates continued communication– Acts as a Program contact– Coordinates analysis, measurement and

improvement of the program

Conducting the Assessment

1. Expedited Factual Investigation

Development of standardized checklist for items needed for the expedited investigation

Gather information Preparation of Fact Summary by Solicitor

Conducting the Assessment

2. Abbreviated Legal Analysis Review controlling law including:

Elements required to state a claim Controlling time guidelines Relevant statutes, regulations and policies Affirmative defenses that may be dispositive Unique requirements due to jurisdiction Factual issues that are relevant but unascertained Other legal issues necessary to prepare a legal

recommendation for this matter

Conducting the Assessment

3. Abbreviated Damages Analysis

Risk assessment of each claim

Prioritize issues within each matter

Narrow scope of claims

Determine whether an expert will be required

Conducting the Assessment

4. Review Relevant Department History Coordinate with client agency to

review prior relevant disputes Predict potential scenarios Network with other regional solicitor

offices regarding relevant disputes

Conducting the Assessment

5. Review General History Verdict outcomes Damage awards Success of similar claims Length of litigation process Settlements or resolutions Other relevant public records or

other information

Conducting the Assessment

6. Conduct External and Internal Economic Analysis External fees, expenses, costs

Outside counsel Other litigation costs

Internal fees, expenses and costs Internal Solicitor’s time Client agency professional and witness time

Conducting the Assessment

7. Identification and Analysis of Non-economic risks/benefits, including: Policy Considerations Importance of establishing precedent Effect on internal and external relationships Client satisfaction/customer service Department’s reputation Public relations (satisfying stakeholders) Employee morale Confidentiality Dispute cycle time Increase/decrease in volume of future disputes

Conducting the Assessment

8. Consideration of other relevant matter-specific or general information:For example, historical information about public interest groups, such as: Organization’s stated positions and interests Prior involvement, issues or disputes and

their outcome

Conducting the Assessment

9. Recommendation for Resolution Strategy Negotiation and settlement guidance Early resolution through ADR

processes Use of resolution/settlement counsel Litigation strategy

Conducting the Assessment

10. “Early Warning System” Insight Summarize lessons learned Recommend corrective action

Early Case Assessment

Report

• Summarize the above data elements• Assessment of the goals and objectives for

all parties to the dispute• Identification of the range of monetary

settlement that would be a good result• Identification of any non-monetary solutions

with potential to resolve the dispute• Preliminary dispute management plan• Preliminary case management plan

Program Tracking

Analyze program effectiveness Develop value measurements Identify business and legal trends to

help DOI become more proactive in its approach to conflict

Ability to demonstrate tangible and intangible benefits of the Program

Easily identify Program “hot spots” and quickly create improvements

Next Steps

May – June 2001: Preparation of Program Documentation

June – July 2001: Development of Training and Communication Material

July – Aug. 2001: Development and Implementation of Program Analysis, Measurement and Improvement Protocol

Questions and Comments

National Parks