Author(s): Nicholas M. Pace, Robert T. Reville, Lionel Galway, Amanda B. Geller, et al
Year: 2003
Language: English
Pages: 620
PREFACE......Page 5
TABLE OF CONTENTS......Page 6
LIST OF TABLES......Page 16
LIST OF FIGURES......Page 20
ACKNOWLEDGMENTS......Page 21
EXECUTIVE SUMMARY......Page 23
STUDY OBJECTIVES AND APPROACH......Page 24
A DISTINCTIVE SYSTEM OF JUSTICE......Page 25
ADDRESSING THE CAUSES OF DELAY......Page 27
Delays in Getting to Conference......Page 28
Delays in Getting to Trial......Page 30
REDUCING UNNECESSARY LITIGATION COSTS......Page 32
MAKING PROCEDURES MORE UNIFORM......Page 34
Updating the Computer System Without Adequate Staffing, Funding, and Planning......Page 35
Creating a New Court Administrator Position......Page 36
CONCLUSIONS......Page 37
Main Recommendations......Page 39
Specific Recommendations......Page 41
A BLUEPRINT FOR THE FUTURE......Page 44
INTRODUCTION......Page 47
Dispute Resolution in a “Dispute Free” System......Page 50
The Judicial Officers of WCAB and the Administration of the DWC......Page 52
The Nature of the WCAB......Page 56
Excess Delay......Page 58
Excess Costs......Page 61
Nonuniformity......Page 63
Level of Service......Page 64
Administration and Management Issues......Page 65
STUDY MISSION......Page 66
ORGANIZATION OF THE REPORT......Page 67
SCOPE OF THE RESEARCH......Page 69
OVERVIEW OF METHODOLOGY......Page 71
Initial Steps......Page 72
Selection......Page 74
Judicial Time Study......Page 75
Litigation Characteristics Sample......Page 76
Stakeholder Input......Page 78
Candidate Recommendations and Public Roundtables......Page 80
SYSTEM ADMINISTRATION......Page 83
APPLICABLE RULES AND REGULATIONS......Page 86
Introduction......Page 87
Defining an “Industrial Injury”......Page 88
Medical Care Benefits......Page 89
Generally......Page 90
Advancing Permanent Disability......Page 92
Penalty Assessments and Supplemental Benefits......Page 93
Penalties Awarded for Delay Under LC §5814......Page 94
Initial Considerations......Page 95
The Next Steps......Page 97
Generally......Page 98
Invoking the Jurisdiction of the WCAB......Page 99
Attorneys......Page 100
Requesting Judicial Intervention......Page 101
A Word About Settlements......Page 104
The Mandatory Settlement Conference......Page 106
Other Conference Types......Page 108
Regular Trials......Page 109
Appealing the Decision of the WCJ......Page 112
Actions Following Settlement or Trial......Page 113
POSTWAR CHANGES......Page 115
THE END OF THE INDUSTRIAL ACCIDENT COMMISSION......Page 117
THE “LITTLE HOOVER COMMISSION” REPORT......Page 119
THE 1989 REFORMS......Page 120
THE ERNST & YOUNG WORKLOAD STANDARDS STUDY......Page 122
THE 1993 REFORMS......Page 123
THE KPMG BUSINESS PROCESS REENGINEERING STUDY......Page 129
THE CHSWC OFFICE PROFILE PROJECT......Page 131
RECENT CHANGES......Page 132
OVERALL DEMAND......Page 134
Figure 5.1 Applications and Authorized Positions......Page 136
Table 5.2 Type of Closure (Closing Orders Issued, CY 2000)......Page 138
Table 5.3 Key Events in Cases with Closure by Settlement or Other Nonfindings Outcome (CY 2000)......Page 139
SPECIFIC TYPES OF FILINGS AND JUDICIAL ACTIONS......Page 140
Table 5.4 Petitions and Other Pleadings Filed, CY 2000......Page 141
Table 5.5 Closing and Interim Orders Issued, CY 2000......Page 144
Statutory Authority......Page 145
Time to Key Event Trends......Page 147
Figure 5.2 Key Interval Times......Page 148
Figure 5.3 Conference Interval Times Versus Conferences Held......Page 151
Figure 5.4 Trial Interval Times Versus Trials Held......Page 152
Time Mandates Versus Case Length......Page 153
Table 5.7 Key Interval Times, “Closed” Cases Tha......Page 154
INTRODUCTION......Page 158
OVERVIEW OF THE ANALYSIS......Page 161
Censored Data......Page 164
Analysis Data Set......Page 165
SUMMARY OF FINDINGS......Page 166
Analysis for Uncomplicated Cases......Page 167
DOR to First Conference......Page 170
Last Conference to First Trial......Page 171
Court Workload Effects......Page 172
Detailed Results......Page 173
Complex Abstraction Sample Cases: DOR to First Conference......Page 174
Abstraction Sample Case Analysis Summary......Page 175
Table 6.1 Variables Used in CAOLS Analysis......Page 176
Table 6.3 Descriptive Statistics for Outcome Variables (Days)......Page 177
Table 6.5 Probabilities of Closing Uncomplicated Cases by Year......Page 178
Table 6.7 Probability of Time to First Conference from DOR by Year......Page 179
Table 6.9 Probability of Time to First Trial from DOR by Year......Page 180
Table 6.10 Probability of Time to First Trial from Last Conference by Office......Page 181
Table 6.12 Additional Variables from Abstracted Case Data......Page 182
Table 6.13 Cox Regression for Uncomplicated Cases, Open to First Close......Page 183
Table 6.14 Complex Cases, Time from DOR to Conference......Page 184
Table 6.15 Complex Cases, DOR to Trial......Page 185
Table 6.16 Complex Cases, Time from Conference to Trial......Page 186
Table 6.18 Uncomplicated Cases, Abstracted Data: Open to Close, Significant Variables......Page 187
Table 6.20 Complex Cases, Abstracted Data: DOR to First Conference, Significant Variables......Page 188
Table 6.22 Complex Cases, Abstracted Data: DOR to First Trial, Significant Variables......Page 189
Table 6.24 Complex Cases, Abstracted Data: Time to First Trial from Last Conference, Significant Variables......Page 190
INTRODUCTION......Page 191
THE PRESIDING JUDGE SURVEYS......Page 193
Conference Calendars......Page 196
Trial Calendars......Page 197
Judicial Assignment......Page 198
DOR and MSC Time Lines......Page 199
DOR Screening......Page 200
Special Conferences......Page 202
The Ability to Provide a Trial Date Following the MSC......Page 203
Judges Pro-Tem......Page 204
Walk-Throughs......Page 205
Robes......Page 206
Bifurcation......Page 207
INTRODUCTION......Page 209
Overview......Page 212
Table 8.1 Judicial Task Category Time Expenditures......Page 213
Table 8.2 Specific Judicial Task Time Expenditures......Page 215
Pro Per Applicants......Page 217
Trials......Page 218
Table 8.4 Trial-Related Judicial Time Expenditures, All Cases......Page 219
Settlements......Page 220
Table 8.7 Judicial Tasks Involving Settlement Review......Page 221
Table 8.8 Settlement Review Related Judicial Time Expenditures......Page 223
Continuances and OTOCs......Page 224
Table 8.9 Judicial Time Expenditures at Conference or Trial, by Outcome of the Hearing......Page 225
INTRODUCTION......Page 226
Sample Selection......Page 227
Approach......Page 230
ANALYSIS......Page 232
Table 9.2 Was Applicant Ever Represented by Counsel?......Page 233
Multiple Cases......Page 234
Table 9.3 Number of File Numbers Associated with This Case (CAOLS data)......Page 235
Psychiatric and Emotional Claims......Page 236
Indication of Allegations of Penalties and Enhancements......Page 237
Information Contained on the Application......Page 238
Issues Requested for Adjudication......Page 239
Party Filing the DOR......Page 240
Session Type......Page 241
Issues......Page 242
Expectations for the Final Hearing......Page 243
Discovery......Page 244
Table 9.16 Hearing Type Following DOR Filing......Page 245
Time Intervals Associated with the DOR......Page 246
Table 9.17 DOR-Related Time Intervals......Page 247
Issues to Be Heard......Page 248
Generally......Page 249
Party Making the Request......Page 251
Type of Request......Page 252
Reasons for Request......Page 253
Table 9.23 MSCs—Reason Indicated for Request \(......Page 255
Pretrial Conferences......Page 256
Type of Request......Page 257
Reasons for Request......Page 258
Table 9.27 Pretrial Conferences—Reason Indicated......Page 259
Party Making the Request......Page 260
Reasons for Request......Page 261
Table 9.29 Trials—Reason Indicated for Request \......Page 263
Other Analysis of Continuances and OTOCs......Page 264
Table 9.31 Requesting Party, Statewide Continuance Report, February Through May, 2000......Page 266
MSC Frequency......Page 267
Stipulations......Page 268
Table 9.34 AOE/COE Stipulation......Page 269
Table 9.36 Stipulations That Defendant Paid Any Compensation......Page 270
Table 9.38 Remaining Issues......Page 271
Table 9.39 Estimated Length of Hearing or Conference......Page 272
Outcome of Review......Page 273
Table 9.41 Indication Final Settlement Was Approved/Resolved......Page 274
Table 9.44 Outcomes from All Approved Settlements......Page 275
Table 9.45 Will Defendant Be Responsible for Future Medical Treatment in Compromise and Release?......Page 276
Table 9.47 Compromise and Release Outcomes......Page 277
Outcomes......Page 278
Timing......Page 279
Table 9.52 Postjudgment Activity......Page 280
Authorized Judicial Staffing Levels......Page 281
Authorized Nonjudicial Staffing Levels......Page 284
Other Considerations Used for Determining Authorized Staffing Levels......Page 285
The Need to Hire......Page 286
Table 10.1 DWC Classification Turnover Rates and Replacement Times......Page 287
Form 1 Through the Initial Interview......Page 289
General Budgetary Considerations......Page 291
“Built-in” Staffing Shortages......Page 293
Table 10.2 Monthly Salary Range by Classification......Page 294
Table 10.3 Impact of “95%–First Step” Budgeting,......Page 296
Anticipated Future Reductions......Page 298
MOTIVATION FOR STAFFING ANALYSIS......Page 301
Phases of Analysis......Page 303
Time Frame and Variables of Interest......Page 304
Reporting Practices......Page 307
Figure 10.1 Monthly Staff Levels (All Units, All Positions)......Page 308
Figure 10.2 Authorized OA Staff and Cases Initiated per Quarter......Page 309
Figure 10.3 Authorized Clerical Staff vs. % in Office, FY 2000-2001......Page 310
Figure 10.4 Percent of Authorized Staff in Office, by Location......Page 311
Figure 10.5 Percent of Authorized Staff in Office, by Position......Page 312
Figure 10.7 Percent of Authorized Staff in Office, as Compared to Time Required to Fill Vacancies (by Position)......Page 313
Figure 10.8 Percent of Authorized Staff in Office, as Compared to Retention Rate (by Location)......Page 314
Figure 10.9 Percent of Authorized Staff in Office, as Compared to Time Required to Fill Vacancies (by Location)......Page 315
Effects of Staffing Disparities......Page 316
Figure 10.11 Correlation Values between OAs in Office and Days from Conference to Trial, Variation across Locations......Page 317
CONCLUSION......Page 319
Clerks and the Pace of Litigation......Page 327
Clerical Position Priorities......Page 333
Table 11.1 Authorized, Vacant, and On-Leave Office Assistant Positions, Fall 2000......Page 335
Clerical Staff Assessment......Page 337
Clerical Staff Compensation and Classification......Page 338
Clerical Training Manual......Page 345
Clerical Supervisor Compensation and Classification......Page 346
Table 11.2 Authorized, Vacant, and On-Leave Office Services Supervisor Positions, Fall 2000......Page 347
Clerical Staff Cross Training......Page 351
Community Service Workers in the Clerical Unit......Page 352
Local “Office Administrators”......Page 353
SECRETARIES......Page 357
Generally......Page 359
Transcripts......Page 360
Real-Time Reporting......Page 361
Audio Court Reporting......Page 363
Chief Hearing Reporter......Page 364
Hearing Reporter Training Manual......Page 366
Priorities for Presiding Judges......Page 367
Presiding Judge Qualities......Page 371
New Judge Hires......Page 373
Judicial Training......Page 375
Reinforcing a Common Goal of Effective Case Management......Page 378
Judicial Classification......Page 380
REGIONAL MANAGERS......Page 382
Pay Levels for Ancillary Service Staff......Page 385
Perceived Problems in Rater Variation......Page 387
Rating Turnaround......Page 389
I&A Officers and Pro Pers......Page 391
The Impact of Internal Workers’ Compensation Clai......Page 393
Table 11.3 State of California Workers’ Compensa......Page 395
Budgeting Practices......Page 398
Background......Page 400
Sources of Authority for the Workers’ Compensatio......Page 404
Public Access to the Policy & Procedural Manual and Its Scope......Page 406
“Acceptable” Interoffice and Intraoffice Procedur......Page 409
Determining When Procedural Nonuniformity Poses Problems......Page 417
DOR Acceptance......Page 419
Enforcement of the “Representative with Settlemen......Page 420
Resolve Ambiguity in Controlling Authority......Page 421
Monitor Interjudge Variation......Page 422
Generally......Page 423
Determining When Trial Decisionmaking Variation Is Inappropriate......Page 424
Theory Versus Practice in Trial Decisionmaking......Page 425
Adequacy of Current Checks and Balances in the Trial Decisionmaking Process......Page 427
The Costs of Trial Decisionmaking Uniformity......Page 431
Promoting Trial Decisionmaking Uniformity Through Training......Page 432
Trial Date Assignment......Page 434
Trials and Judicial Time Expenditures......Page 435
Trial Scheduling and the Use of the Same Judge for the MSC and Trial......Page 438
Judicial Trial Calendar Control......Page 441
Possible Problems with Single-Judge Office Trial Calendaring......Page 442
Are These Common Problems?......Page 447
Should All Offices Move to a Uniform Approach?......Page 448
Is a Move to a Multijudge Approach the Only Safeguard?......Page 450
Key Issues Related to Judicial Assignment......Page 452
Insight and Responsibility......Page 453
Accountability......Page 454
Indifference to Trial Needs......Page 456
Ability to Meaningfully Shape the Pretrial Process......Page 458
Conflicts Between MSC and Trial Judges......Page 459
Impact on the Clerical Section......Page 462
Settlement Assistance......Page 463
Recommendation as to Judicial Assignment Strategy......Page 464
“First Judge Available” Assignment......Page 468
The Amount of Trials Scheduled Per Day......Page 469
Who Should Control the Trial Calendar?......Page 474
Improving Reassignment Procedures on Trial Day......Page 477
The Peremptory Challenge......Page 485
At the MSC.........Page 488
At the Trial.........Page 492
Trial Calendar Start Times......Page 493
Using Volunteer Attorneys for Conferences......Page 495
Archiving......Page 497
Open Venue......Page 499
Decision Days......Page 500
CHAPTER 14. CASE MANAGEMENT......Page 502
Settlement-Related Continuances and Cancellations at Conferences......Page 503
The Inflexibility of the MSC......Page 505
Assumptions for DOR Screening and Objection Review......Page 510
Faulty Assumptions of the MSC......Page 511
Screening Versus Objections Review......Page 519
Streamlining the DOR Screen......Page 520
Formalizing the Pre-MSC Objection Review......Page 523
Linking Objections with the Mandatory Settlement Conference......Page 530
The Need for Continued Discretion......Page 538
The Need for Ongoing Case Management of Continued or Off-Calendar Cases......Page 539
Settlement Authority at the MSC......Page 545
The Use of Specially Designated Status Conferences......Page 551
The Distinction Between Conferences and Trials......Page 554
Notification of the Represented Parties......Page 557
Board-Related Trial Continuances......Page 559
Generally......Page 560
The Priority Placed on Lien Resolution......Page 564
Availability of the Lien Claimant at the MSC......Page 565
Limitations on Enforcing Stale Liens......Page 567
Automatic Setting for Lien Trial......Page 570
EARLY INTERVENTION......Page 571
Standards for Fee Awards......Page 576
Standards for Deposition Fees......Page 580
Generally......Page 581
Should Formal Settlement Approval Continue?......Page 584
What Uniform Standards Should Be Used?......Page 586
Generally......Page 589
Pro Per Settlements......Page 591
Represented Applicant Settlements......Page 592
Conclusion......Page 593
The Use of Mediation to Promote Settlement......Page 594
Generally......Page 596
Potential Drawbacks to the Walk-Through......Page 597
Potential Benefits of the Walk-Through......Page 602
Conclusion......Page 604
The Costs and Benefits of Summaries of Evidence......Page 608
Generally......Page 610
Formal Transcripts......Page 612
“Rough Draft” Transcripts......Page 614
Generally......Page 616
The Move Toward Real Time......Page 617
DECISIONS AND OPINIONS FOLLOWING TRIAL......Page 620
RESPONDING TO PETITIONS FOR RECONSIDERATION......Page 625
Examples of Ongoing Problems with CAOLS......Page 628
Replacing CAOLS......Page 636
Future Development......Page 639
Funding......Page 641
Generally......Page 642
Evaluating the Use of Electronic Filing in the WCAB......Page 644
Summary......Page 648
DOCUMENT MANAGEMENT......Page 653
CALENDARING AUTOMATION......Page 655
Minimum Standards......Page 661
JUSTIFYING IMPLEMENTATION OF NEW SYSTEMS AND UPGRADES OF LEGACY SYSTEMS......Page 662
GENERALLY......Page 665
THE USE OF ROBES......Page 668
Pamphlets......Page 670
Non-English and Non-Spanish Information......Page 671
Initial Appearances......Page 672
Standards......Page 673
Meeting Areas......Page 674
Impact of Reconsideration on Time to Resolution......Page 676
Table 19.1 Appeals Board Filings......Page 678
Impact on Rulemaking and the Development of Substantive and Procedural Law......Page 680
Introduction......Page 681
The Court Administrator Proposal......Page 685
The Need for a Separate Court Administrator......Page 689
CHAPTER 20. IMPROVING “THE PEOPLE’S COURT”......Page 692
An “Administrative Body”? A “Court”?......Page 693
Finding the Right Focus......Page 695
Obstacles to Change......Page 699
Rationalizing Controlling Rules and Regulations......Page 700
Updating DWC Claims Adjudication Technology......Page 702
Providing Appropriate Staffing Levels......Page 703
The Unique Demands of Workers’ Compensation Dispu......Page 707
Fulfilling the Mandate......Page 708
CHAPTER 11. PERSONNEL AT DWC BRANCH OFFICES......Page 712
CHAPTER 12. INTEROFFICE AND INTERJUDGE VARIATION......Page 715
CHAPTER 13. PRETRIAL PRACTICES AT DWC BRANCH OFFICES......Page 716
CHAPTER 14. CASE MANAGEMENT......Page 719
CHAPTER 15. REVIEW OF ATTORNEY’S FEE REQUESTS A......Page 721
CHAPTER 16. TRIAL AND POSTTRIAL PROCEDURES......Page 723
CHAPTER 17. COURT TECHNOLOGY......Page 724
CHAPTER 18. “CUSTOMER SATISFACTION” AND THE WCAB......Page 725
CHAPTER 19. WORKERS’ COMPENSATION ADJUDICATION M......Page 726
DWC AND DIR PERSONNEL AND UNITS......Page 727
PLEADINGS......Page 730
OTHER ABBREVIATIONS......Page 731
BIBLIOGRAPHY......Page 733
