caseflow management and delay reduction in courts david c. steelman national center for state courts...
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CASEFLOW MANAGEMENT AND CASEFLOW MANAGEMENT AND
DELAY REDUCTION IN COURTSDELAY REDUCTION IN COURTS
David C. SteelmanDavid C. SteelmanNational Center for State CourtsNational Center for State Courts
World Bank Presentation, June 24, 2004World Bank Presentation, June 24, 2004
NATIONAL CENTER FOR NATIONAL CENTER FOR STATE COURTSSTATE COURTS
A non-profit A non-profit organization serving organization serving state and local courts state and local courts in the US and justice in the US and justice systems abroadsystems abroad
Mission: To promote Mission: To promote justice through justice through leadership and service leadership and service to courtsto courts
Consulting and Consulting and technical assistancetechnical assistance
Information and Information and educationeducation
Research and Research and technologytechnology
International programsInternational programs Association servicesAssociation services
CASEFLOW MANAGEMENTCASEFLOW MANAGEMENTThe Heart of Court ManagementThe Heart of Court Management
CASEFLOW MANAGEMENTCASEFLOW MANAGEMENT
The entire set of actions that a The entire set of actions that a court takes to monitor and control the court takes to monitor and control the progress of cases, from commencement progress of cases, from commencement through trial or other initial disposition through trial or other initial disposition to the completion of all postdisposition to the completion of all postdisposition court work, in order to make sure that court work, in order to make sure that justice is done promptly.justice is done promptly.
How (and why) did the theory and How (and why) did the theory and principles of caseflow management principles of caseflow management
develop in the United States?develop in the United States?
HISTORY OF DELAY IN HISTORY OF DELAY IN AMERICAN COURTSAMERICAN COURTS
U.S. Constitution, 6th Amendment (1789): “In all criminal U.S. Constitution, 6th Amendment (1789): “In all criminal prosecutions, the accused shall have a right to a speedy and prosecutions, the accused shall have a right to a speedy and public trial.”public trial.”
““Speedy justice is a thing unknown; and any justice, without Speedy justice is a thing unknown; and any justice, without delays almost ruinous, is most rare” (David Dudley Field, 1839)delays almost ruinous, is most rare” (David Dudley Field, 1839)
In In Beavers v. HaubertBeavers v. Haubert (1905), the U.S. Supreme Court held that (1905), the U.S. Supreme Court held that what is a “speedy” trial depends on individual case what is a “speedy” trial depends on individual case circumstances (and can be consistent with delays).circumstances (and can be consistent with delays).
““The causes of popular dissatisfaction with the administration of The causes of popular dissatisfaction with the administration of justice [include] uncertainty, delay and expense” (Roscoe Pound, justice [include] uncertainty, delay and expense” (Roscoe Pound, 1906)1906)
““Complaints about the evil of delay in litigation come from every Complaints about the evil of delay in litigation come from every quarter of American society” (Arthur Vanderbilt, 1957)quarter of American society” (Arthur Vanderbilt, 1957)
U.S. REFORM EFFORTS TO U.S. REFORM EFFORTS TO REDUCE DELAY BEFORE 1970’SREDUCE DELAY BEFORE 1970’S
Simplify court structure & jurisdictionSimplify court structure & jurisdiction Streamline rules of procedureStreamline rules of procedure Reassign judges to reduce backlogReassign judges to reduce backlog Reduce case volumeReduce case volume Increase court resourcesIncrease court resources Use short-term “crash programs” to reduce Use short-term “crash programs” to reduce
court backlogscourt backlogs
A “SEA CHANGE” IN U.S. A “SEA CHANGE” IN U.S. THINKING ABOUT DELAY IN THE THINKING ABOUT DELAY IN THE
1970’S1970’S US Supreme Court due process mandatesUS Supreme Court due process mandates Judicial administration standardsJudicial administration standards Emergence of professional court managersEmergence of professional court managers Federal government policies and grantsFederal government policies and grants Studies finding that court delay does Studies finding that court delay does notnot
necessarily correlate with case volume, necessarily correlate with case volume, court size, or other structural featurescourt size, or other structural features
REFLECTIONS OF CHANGING REFLECTIONS OF CHANGING U.S PHILOSOPHY IN 1970’sU.S PHILOSOPHY IN 1970’s
Maureen Solomon (ABA 1973): Judges must be Maureen Solomon (ABA 1973): Judges must be committed to controlling case progress & must committed to controlling case progress & must have assistance of court managers.have assistance of court managers.
Steven Flanders (FJC 1977): Fastest federal trial Steven Flanders (FJC 1977): Fastest federal trial courts monitor pleadings, set times for discovery courts monitor pleadings, set times for discovery completion, & provide prompt trials.completion, & provide prompt trials.
Thomas Church (NCSC 1978): Urban trial courts Thomas Church (NCSC 1978): Urban trial courts with speediest pace of litigation have changed with speediest pace of litigation have changed expectations of “local legal culture.”expectations of “local legal culture.”
THE “NEW” CONVENTIONALTHE “NEW” CONVENTIONAL WISDOM ABOUT DELAY WISDOM ABOUT DELAY
REDUCTION IN U.S. COURTSREDUCTION IN U.S. COURTS Court delay cannot be ascribed Court delay cannot be ascribed solelysolely to to
court size, caseload, case mix, or trial rate.court size, caseload, case mix, or trial rate. Solutions based on court resources or formal Solutions based on court resources or formal
rules and procedures are rules and procedures are not sufficientnot sufficient to to reduce delay.reduce delay.
To reduce and avoid delay, court leaders To reduce and avoid delay, court leaders must have a long-term commitment to must have a long-term commitment to active active managementmanagement of the pace of litigation. of the pace of litigation.
What Has Research Shown To Be The What Has Research Shown To Be The Essential Elements of Successful Essential Elements of Successful
Caseflow Management in U.S. Courts?Caseflow Management in U.S. Courts?
Apply Caseflow Principles
Establish and Maintain a Secure Management Foundation:
Exercise Leadership, Stay Committed to a Shared Vision of Timely Justice,
Communicate, and Promote a Learning Environment
Exercise Active Management:
Set Goals, Monitor Performance, and Enforce
Accountability
Apply Caseflow Principles
Establish and Maintain a Secure Management Foundation:
Exercise Leadership, Stay Committed to a Shared Vision of Timely Justice,
Communicate, and Promote a Learning Environment
Exercise Active Management:
Set Goals, Monitor Performance, and Enforce
Accountability
WHAT DO WE MEAN BY WHAT DO WE MEAN BY “ACTIVE MANAGEMENT”?“ACTIVE MANAGEMENT”?
Setting appropriate expectationsSetting appropriate expectations Using IT data and other information to Using IT data and other information to
monitor and measure actual events in monitor and measure actual events in light of expectationslight of expectations
Taking responsible steps to bring Taking responsible steps to bring actual performance closer to actual performance closer to expectationsexpectations
EXAMPLES OF EXPECTATIONS EXAMPLES OF EXPECTATIONS FOR CASEFLOW MANAGEMENTFOR CASEFLOW MANAGEMENT
Time StandardsTime Standards Backlog reduction & size of pending Backlog reduction & size of pending
inventoryinventory Continuance policyContinuance policy Controlling costs of justiceControlling costs of justice Maintaining equality, fairness & integrityMaintaining equality, fairness & integrity
AMERICAN BAR ASSOCIATION AMERICAN BAR ASSOCIATION TIME STANDARDSTIME STANDARDS
Time to Disposition (in Months)Time to Disposition (in Months)
90 Pct90 Pct 98 Pct 98 Pct 100 Pct100 Pct
General CivilGeneral Civil 12 18 24 12 18 24
Domestic Relations 3 6 12Domestic Relations 3 6 12
FelonyFelony 4 6 12 4 6 12
MisdemeanorMisdemeanor 1 1 ------ 3 3
USING INFORMATION TO USING INFORMATION TO MONITOR AND MEASURE MONITOR AND MEASURE
ACTUAL CASEFLOW ACTUAL CASEFLOW MANAGEMENT PERFORMANCEMANAGEMENT PERFORMANCE
Caseload ClearanceCaseload Clearance: Number of cases cleared as percentage of total cases filed
Case Processing Time:Case Processing Time: Percentage of cases reaching initial disposition within established time standards
Case Backlog:Case Backlog: Percentage of pending cases that are older than established time standards
Trial Date Certainty:Trial Date Certainty: Average number of times cases must be scheduled for trial before they are actually tried or otherwise disposed
ACCOUNTABILITY AND ACCOUNTABILITY AND RESPONSIBILITYRESPONSIBILITY
Enforcing accountability in caseflow Enforcing accountability in caseflow management:management:– Court system responsibility for providing results for Court system responsibility for providing results for
citizenscitizens– Case-by-case responsibility of judges, lawyers, and Case-by-case responsibility of judges, lawyers, and
court staff memberscourt staff members– Reporting performance against expectationsReporting performance against expectations
Taking responsible steps to improve actual Taking responsible steps to improve actual performance in terms of expectationsperformance in terms of expectations
Applying appropriate techniques consistent Applying appropriate techniques consistent with with caseflow management principlescaseflow management principles
Apply Caseflow Principles
Establish and Maintain a Secure Management Foundation:
Exercise Leadership, Stay Committed to a Shared Vision of Timely Justice,
Communicate, and Promote a Learning Environment
Exercise Active Management:
Set Goals, Monitor Performance, and Enforce
Accountability
CASEFLOW MANAGEMENT CASEFLOW MANAGEMENT PRINCIPLES FOR U.S. COURTSPRINCIPLES FOR U.S. COURTS
Early & continuous court control of case Early & continuous court control of case progressprogress
Differentiated case managementDifferentiated case management Meaningful events & realistic schedulesMeaningful events & realistic schedules Firm & credible trial datesFirm & credible trial dates Trial management Trial management Management of court events after initial Management of court events after initial
dispositiondisposition
EARLY & CONTINUOUS EARLY & CONTINUOUS COURT CONTROLCOURT CONTROL
““Early control” means that court uses IT to Early control” means that court uses IT to monitor case progress from initiation and creates a monitor case progress from initiation and creates a schedule for case progress to dispositionschedule for case progress to disposition
Early court involvement recognizes that 95% of Early court involvement recognizes that 95% of cases in U.S. are disposed without trialcases in U.S. are disposed without trial
Continuous control -- each case always has a next Continuous control -- each case always has a next scheduled eventscheduled event
Court objective: resolve cases at earliest Court objective: resolve cases at earliest appropriate point in processappropriate point in process
DIFFERENTIATED CASE DIFFERENTIATED CASE MANAGEMENT (DCM)MANAGEMENT (DCM)
Early case screening for complexity based Early case screening for complexity based on established criteriaon established criteria
Assignment of cases to unique processing Assignment of cases to unique processing tracks based on screening assessmenttracks based on screening assessment
Different court management procedures for Different court management procedures for each trackeach track
Variety of case assignment systems, best Variety of case assignment systems, best suited to each tracksuited to each track
MEANINGFUL EVENTS & MEANINGFUL EVENTS & REALISTIC SCHEDULESREALISTIC SCHEDULES
Maxims of caseflow management in U.S.:Maxims of caseflow management in U.S.:– Lawyers settle cases, not judgesLawyers settle cases, not judges
– Lawyers settle cases when preparedLawyers settle cases when prepared
– Lawyers prepare for meaningful eventsLawyers prepare for meaningful events
Management Techniques:Management Techniques:– Set events on a short schedule -- long enough to allow Set events on a short schedule -- long enough to allow
preparation, short enough to encourage preparationpreparation, short enough to encourage preparation
– Create realistic expectation that events will happen Create realistic expectation that events will happen when scheduledwhen scheduled
EARLY & FIRM TRIAL DATESEARLY & FIRM TRIAL DATES
Causes parties to be prepared for trial, and Causes parties to be prepared for trial, and in U.S. most settle their casesin U.S. most settle their cases
Methods:Methods:– Maximize dispositions before setting trial datesMaximize dispositions before setting trial dates– Use IT data to aid creation of realistic calendar Use IT data to aid creation of realistic calendar
setting levelssetting levels– Create & have judges consistently enforce a Create & have judges consistently enforce a
reasonable policy limiting continuancesreasonable policy limiting continuances– Have backup judge capacityHave backup judge capacity
TRIAL MANAGEMENTTRIAL MANAGEMENT
Prepare for trial with trial management Prepare for trial with trial management conference, especially in more serious casesconference, especially in more serious cases
Schedule to start trials on time & provide Schedule to start trials on time & provide adequate time for themadequate time for them
Manage jury selectionManage jury selection Maintain trial momentumMaintain trial momentum Establish & enforce time limitsEstablish & enforce time limits Jury versus nonjury trialsJury versus nonjury trials
MANAGEMENT OF CASES MANAGEMENT OF CASES AFTER INITIAL DISPOSITIONAFTER INITIAL DISPOSITION
Monitor status of cases after entry of Monitor status of cases after entry of judgmentjudgment
Create appropriate time expectations and Create appropriate time expectations and control pace of post-disposition eventscontrol pace of post-disposition events
Use IT to identify and manage any post-Use IT to identify and manage any post-disposition links to other casesdisposition links to other cases
Determine when all court work is doneDetermine when all court work is done
CASEFLOW MANAGEMENT CASEFLOW MANAGEMENT FOR FELONY CASESFOR FELONY CASES
Use IT to monitor time Use IT to monitor time from arrest to disposition from arrest to disposition in terms of time standardsin terms of time standards
Assemble key participants Assemble key participants & critical case information & critical case information early in caseearly in case– Early determination of Early determination of
eligibility for public eligibility for public defenderdefender
– Early public defender Early public defender involvement & contact with involvement & contact with clientclient
– Early provision of Early provision of “discovery package” from “discovery package” from prosecutor to defense prosecutor to defense
Screen case for DCM Screen case for DCM track assignmenttrack assignment
Actively manage pretrial Actively manage pretrial eventsevents– Scheduling orderScheduling order– Early decisions on motions, Early decisions on motions,
especially suppression especially suppression motionsmotions
– Prosecutor-defense pretrial Prosecutor-defense pretrial conference with realistic conference with realistic plea offerplea offer
– Plea cut-off datePlea cut-off date Provide early & firm trial Provide early & firm trial
datedate
CASEFLOW MANAGEMENT CASEFLOW MANAGEMENT FOR GENERAL CIVIL CASESFOR GENERAL CIVIL CASES
Monitor case progress Monitor case progress from filing to disposition from filing to disposition in view of time standardsin view of time standards
Provide early court Provide early court involvement & controlinvolvement & control– Monitor filing of responsive Monitor filing of responsive
pleadingpleading
– Default judgment/dismissal Default judgment/dismissal for want of prosecutionfor want of prosecution
– Early case conference & Early case conference & scheduling orderscheduling order
– Early referral to ADREarly referral to ADR
Screen case for DCM track Screen case for DCM track assignmentassignment– Require attorneys to attach Require attorneys to attach
“case information sheet” “case information sheet” (CIS) at filing to inform court (CIS) at filing to inform court about nature of caseabout nature of case
– CIS includes counsel request CIS includes counsel request for track assignmentfor track assignment
– Track assignment controls Track assignment controls time to discovery completion time to discovery completion & other details of case & other details of case progressprogress
Manage discovery & Manage discovery & pretrial motionspretrial motions
Provide early & firm trial Provide early & firm trial datedate
MANAGING BUSINESS & MANAGING BUSINESS & COMPLEX LITIGATIONCOMPLEX LITIGATION
Monitor case progress from Monitor case progress from filing to disposition in view filing to disposition in view of time standardsof time standards
Provide early & active Provide early & active judge involvement:judge involvement:– Case management scheduleCase management schedule– Frequent & meaningful case Frequent & meaningful case
status conferencesstatus conferences– Direct availability to resolve Direct availability to resolve
case management disputes & case management disputes & problemsproblems
Provide early access to Provide early access to alternative dispute alternative dispute resolution (ADR)resolution (ADR)
Make effective use of IT:Make effective use of IT:– Electronic filing, notices, Electronic filing, notices,
and case communicationand case communication– Videoconferencing & Videoconferencing &
database technologiesdatabase technologies– Interactive software to Interactive software to
integrate key filings with integrate key filings with references to statutes & case references to statutes & case lawlaw
– ““High Tech” courtroom with High Tech” courtroom with presentation software for presentation software for effective presentation of trial effective presentation of trial evidenceevidence
Provide appropriate early Provide appropriate early & firm trial date& firm trial date
HOW APPLICABLE ARE CASEFLOW HOW APPLICABLE ARE CASEFLOW MANAGEMENT PRINCIPLES IN MANAGEMENT PRINCIPLES IN
COURTS OUTSIDE THE U.S.?COURTS OUTSIDE THE U.S.?
CASEFLOW MANAGEMENT EFFORTS CASEFLOW MANAGEMENT EFFORTS BY NCSC’S INTERNATIONAL BY NCSC’S INTERNATIONAL
PROGRAMS DIVISIONPROGRAMS DIVISION Projects with Projects with
demonstrable results:demonstrable results:– Dominican Republic:Dominican Republic: work work
with courts and prosecutors with courts and prosecutors dramatically increased dramatically increased dispositions and cut times dispositions and cut times to disposition in halfto disposition in half
– Egypt:Egypt: delay reduction delay reduction effort through caseflow effort through caseflow management with IT management with IT reduced civil times to reduced civil times to disposition by 42% in pilot disposition by 42% in pilot courtscourts
Projects with results still Projects with results still pending:pending:– Bangladesh:Bangladesh: Pace of Pace of
litigation under study & litigation under study & caseflow management caseflow management model under developmentmodel under development
– Nepal:Nepal: Study of Supreme Study of Supreme Court has led to suggestions Court has led to suggestions to reduce disposition times to reduce disposition times & size of pending inventory& size of pending inventory
– Croatia:Croatia: IT & system IT & system changes in largest court changes in largest court (Zagreb) to promote fair & (Zagreb) to promote fair & efficient case dispositionsefficient case dispositions
EGYPTIAN COURTS OF EGYPTIAN COURTS OF FIRST INSTANCEFIRST INSTANCE
PROPOSED CIVIL CASEFLOW PROPOSED CIVIL CASEFLOW MANAGEMENT PROGRAM FOR EGYPT MANAGEMENT PROGRAM FOR EGYPT
PILOT COURTS (1998)PILOT COURTS (1998) Leadership by Ministry of Justice & Pilot Court Leadership by Ministry of Justice & Pilot Court
Chief JusticesChief Justices Time StandardsTime Standards Active court supervision of service of process Active court supervision of service of process Monitoring of case progress from time of filingMonitoring of case progress from time of filing Court control of timely case preparation by partiesCourt control of timely case preparation by parties Court control of work by expertsCourt control of work by experts Case held for judgment at early & firm dateCase held for judgment at early & firm date
DRAFT EGYPTIAN NATIONAL DELAY DRAFT EGYPTIAN NATIONAL DELAY REDUCTION PLAN FOR CIVIL CASES REDUCTION PLAN FOR CIVIL CASES
(2002)(2002) Active management of cases by judgesActive management of cases by judges Judge screening of cases for referral to experts & judge Judge screening of cases for referral to experts & judge
management of expert workmanagement of expert work Management of case papers to facilitate monitoring by Management of case papers to facilitate monitoring by
judgesjudges Time standardsTime standards ““Statement of Procedures” form for judges to control Statement of Procedures” form for judges to control
scheduling of hearingsscheduling of hearings Active exploration of possible amicable settlementActive exploration of possible amicable settlement Active use of IT resourcesActive use of IT resources Implementation plan & timetableImplementation plan & timetable
CASEFLOW MANAGEMENT CASEFLOW MANAGEMENT CHANGE IN ITALY?CHANGE IN ITALY?
IDEAS FOR CASEFLOW MANAGEMENT IDEAS FOR CASEFLOW MANAGEMENT IMPROVEMENT IN BOLOGNA IMPROVEMENT IN BOLOGNA
GENERAL-JURISDICTION TRIBUNALGENERAL-JURISDICTION TRIBUNAL
Attention to resource problems (staff & facilities)Attention to resource problems (staff & facilities) Commitment by judges to active caseflow Commitment by judges to active caseflow
managementmanagement Time standards and active monitoring of case ageTime standards and active monitoring of case age Emphasis on early plea bargains and summary Emphasis on early plea bargains and summary
trials (criminal) and agreed settlements (civil)trials (criminal) and agreed settlements (civil) Policy discouraging trial date continuances in Policy discouraging trial date continuances in
criminal casescriminal cases Early scheduling orders for civil cases to proceed Early scheduling orders for civil cases to proceed
promptly to court decision phasepromptly to court decision phase
BARRIERS TO CASEFLOW BARRIERS TO CASEFLOW MANAGEMENT IMPROVEMENT IN MANAGEMENT IMPROVEMENT IN
ITALYITALY
Education and socialization of judges, Education and socialization of judges, prosecutors, and lawyersprosecutors, and lawyers
Leadership of judiciaryLeadership of judiciary Background and status of court managersBackground and status of court managers Judicial independenceJudicial independence Requirements of law and procedureRequirements of law and procedure Distrust of government and political conflictDistrust of government and political conflict
HOW DO WE CREATE AN ENVIRONMENT IN HOW DO WE CREATE AN ENVIRONMENT IN WHICH CASEFLOW MANAGEMENT WHICH CASEFLOW MANAGEMENT
IMPROVEMENTS MIGHT FLOURISH?IMPROVEMENTS MIGHT FLOURISH?
Apply Caseflow Principles
Establish and Maintain a Secure Management Foundation:
Exercise Leadership, Stay Committed to a Shared Vision of Timely Justice,
Communicate, and Promote a Learning Environment
Exercise Active Management:
Set Goals, Monitor Performance, and Enforce
Accountability
ESTABLISHING A SECURE ESTABLISHING A SECURE MANAGEMENT ENVIRONMENT MANAGEMENT ENVIRONMENT
SUITABLE FOR CASEFLOW SUITABLE FOR CASEFLOW MANAGEMENT SUCCESSMANAGEMENT SUCCESS
LeadershipLeadership Commitment to shared visionCommitment to shared vision CommunicationsCommunications Learning EnvironmentLearning Environment
LEADERSHIPLEADERSHIP
With time standards, probably the most important With time standards, probably the most important element of successelement of success
Attributes include capacity to establish and Attributes include capacity to establish and communicate a compelling vision, political skill, communicate a compelling vision, political skill, tenacity, and continuitytenacity, and continuity
Has come from different sources in U.S:Has come from different sources in U.S:– Leadership by a court’s Chief Judge or Presiding JudgeLeadership by a court’s Chief Judge or Presiding Judge– Judicial system leadershipJudicial system leadership– Leadership from bar or other sourcesLeadership from bar or other sources
Chief Judge-Court Manager executive teamChief Judge-Court Manager executive team
COMMITMENT TO SHARED COMMITMENT TO SHARED VISIONVISION
Performance expectations for courts that Performance expectations for courts that include prompt and affordable justiceinclude prompt and affordable justice
Judge commitment to managing pace of Judge commitment to managing pace of litigationlitigation
Court staff involvement & understandingCourt staff involvement & understanding Support from others with an interest in the Support from others with an interest in the
court processcourt process
COMMUNICATIONCOMMUNICATION
Among judgesAmong judges Between judges and court staffBetween judges and court staff Within judicial systemWithin judicial system With members of the private barWith members of the private bar With court-related government agenciesWith court-related government agencies With others interested in courtsWith others interested in courts Caseflow management committeesCaseflow management committees
LEARNING ENVIRONMENTLEARNING ENVIRONMENT
Specific education and training about Specific education and training about caseflow managementcaseflow management
Emphasis on learning in the court and Emphasis on learning in the court and the judicial systemthe judicial system
Court as a “learning organization”Court as a “learning organization”
CONCLUSION: CONCLUSION: CASEFLOW MANAGEMENT IMPROVEMENT CASEFLOW MANAGEMENT IMPROVEMENT
AND THE CHALLENGE OF CHANGEAND THE CHALLENGE OF CHANGE
THE CHALLENGE OF CHANGETHE CHALLENGE OF CHANGE
It should be kept in mind that there is nothing more It should be kept in mind that there is nothing more difficult to carry out nor more doubtful of success nor difficult to carry out nor more doubtful of success nor more dangerous to manage than to introduce a new more dangerous to manage than to introduce a new system of things; for the introducer has as his enemies system of things; for the introducer has as his enemies all those who benefit from the old system, and only all those who benefit from the old system, and only lukewarm defenders in all those who would benefit lukewarm defenders in all those who would benefit from the new system.from the new system.
--Niccolò Machiavelli, --Niccolò Machiavelli, The PrinceThe Prince (1513), Chapter VI (1513), Chapter VI
KINDS OF RESISTANCE TO KINDS OF RESISTANCE TO CHANGECHANGE
Internal Individual ResistanceInternal Individual Resistance: For an individual : For an individual judge or court staff member, fjudge or court staff member, fear that change will ear that change will cause loss, or belief that change does not make cause loss, or belief that change does not make sense. sense.
Internal Group ResistanceInternal Group Resistance: Perception among : Perception among groups of judges or groups of court staff that groups of judges or groups of court staff that change will lead to a less desirable work situation.change will lead to a less desirable work situation.
External ResistanceExternal Resistance: Opposition to change from : Opposition to change from members of the “local legal culture,” who have members of the “local legal culture,” who have learned how to operate effectively in the existing learned how to operate effectively in the existing environment.environment.
INITIAL THOUGHTS ON CHANGE INITIAL THOUGHTS ON CHANGE MANAGEMENT IN COURTS MANAGEMENT IN COURTS
OUTSIDE THE U.S.OUTSIDE THE U.S. Develop a compelling set of performance expectations.Develop a compelling set of performance expectations. Seek champions among leaders of the Court of Last Resort, the Seek champions among leaders of the Court of Last Resort, the
National Association of Judges and Prosecutors, and the Ministry National Association of Judges and Prosecutors, and the Ministry of Justice.of Justice.
Find ways to encourage and empower individual judges, court Find ways to encourage and empower individual judges, court managers, and court staff members, trying to minimize retribution, managers, and court staff members, trying to minimize retribution, resignation, and cynicism.resignation, and cynicism.
Be flexible: Be flexible: – Look for ways to achieve small victories.Look for ways to achieve small victories.– Be prepared to respond quickly to unanticipated opportunities.Be prepared to respond quickly to unanticipated opportunities.
Always remember that “Court improvement is not for the short-Always remember that “Court improvement is not for the short-winded” (Arthur Vanderbilt).winded” (Arthur Vanderbilt).
ANY QUESTIONS?ANY QUESTIONS?
TWO SOURCES OF FURTHER TWO SOURCES OF FURTHER INFORMATIONINFORMATION
David Steelman, with John Goerdt and James David Steelman, with John Goerdt and James McMillan, McMillan, Caseflow Management: The Heart of Caseflow Management: The Heart of Court Management in the New MillenniumCourt Management in the New Millennium (2000)(now available in re-formatted 3(2000)(now available in re-formatted 3rdrd printing) printing)
David Steelman, David Steelman, Business Process Enhancement Business Process Enhancement Manual Manual (Sacramento, CA, and Williamsburg, VA: (Sacramento, CA, and Williamsburg, VA: Search, Inc., and National Center for State Courts, Search, Inc., and National Center for State Courts, for COSCA/NACM Joint Technology Committee, for COSCA/NACM Joint Technology Committee, http://www.ncsconline.org/WC/Publications/KIS_http://www.ncsconline.org/WC/Publications/KIS_ReengiBPEManual.pdf) ReengiBPEManual.pdf)