Vol. 77, No. 7, July
2004
Chief Judges Approve Probate Case Management Review
Concerned with the number of probate matters pending beyond 12 months
- the benchmark for completion - the chief judges approved a case
management review to examine and improve current probate case
processes.
by John W. Roethe & Kerry M.
Connelly
In August 2002 the Committee of Chief Judges established a
subcommittee to review probate benchmarks and case processing
techniques. A major concern of the Chief Judge Subcommittee on Probate
was the age of formal and informal estates pending in the circuit courts
of Wisconsin. In 2002 there were more than 14,000 pending estates. Of
the formal estates pending, 52 percent were more than 12 months old and
38 percent were more than 18 months old. Of the informal estates, 40
percent were more than 12 months old and 24 percent were more than 18
months old.
Of further concern was that formal and informal estates opened for at
least 18 months showed no court activity for a six-month period in 30
percent and 35 percent, respectively, of cases pending. Of the formal
and informal estates pending for at least 12 months, more than 41
percent and more than 55 percent, respectively, showed no court activity
for three months.
Subcommittee Recommendations
The subcommittee consisted of a circuit court judge, two district
court administrators, four registers in probate, a clerk of circuit
court, and a technical specialist from the Circuit Court Automation
Program (CCAP) of the Director of State Courts office.
In December 2003 the subcommittee submitted its report to the
Committee of Chief Judges. The chief
judges approved the following recommendations:
The Benefits of Case Processing Standards
In 1987 the chief judges adopted case processing benchmarks for
completing all the major case types. The case processing time for
estates was set at 12 months. The conference of state court
administrators, the conference of chief justices, and the American Bar
Association also have established benchmarks for the timely processing
of cases filed with the court.
The review of estates pending in Wisconsin circuit courts establishes
that there is a need for case processing standards in probate. According
to Caseflow Management: The Heart of Case Management in the New
Millenium1:
"The adoption of case processing standards reflects a commitment to
timely completion of cases as an important goal. In operation, time
standards serve four important ends:
"Motivation. By providing goals for judges and other
participants in the court process to seek to achieve, both in managing
caseloads and with regard to individual cases, time standards are
motivators.
"Measurement. Time standards provide a starting
point for developing specific procedures to meet the goals set
forth.
"Management. Time standards provide a starting point
for developing specific procedures to meet the goals set forth.
"Information System Development. Time standards are
useful only if judges and other participants in the court process
receive information on the extent to which they are being achieved; such
standards should lead to the development of systems for monitoring
caseload status and progress toward case flow management goals."2
National Probate Court Standards
The Commission on National Probate Court Standards and Advisory
Committee on Interstate Guardianships reiterate the above standards
related to expedition and timeliness and public trust and confidence
when they state, "A court should have guidelines for the timely and
expeditious completion of proceedings. Unnecessary delay may cause
injustice, hardship, and diminished public trust and confidence in the
court."3 According to the Commission's
report:
Status of Changes
According to the Director of State Courts office, the current status
of changes is as follows:
- Registers in probate are currently reviewing their case management
practices, and some already may be implementing changes. Check with your
county register in probate for changes that may affect your
practice.
- In June, the court Web site added new forms to be used to prompt
action with cases. Continue to watch the "Legal News & Trends"
column in Wisconsin Lawyer for updates of new and revised
mandatory court forms.
- By July, CCAP will make changes to codes that are used to track
probate cases in order to determine the reasons for lagging cases.
"The probate court should establish and maintain guidelines for
timely case processing. The court should provide mandated reports and
requested information on time and respond to requests for information
and other services on a schedule established by the court to ensure
their effective use."4
Other states have begun using time standards for probate cases. The
Michigan Supreme Court called for courts to develop caseflow management
plans including case processing goals:
"75% of all contested probate matters should be resolved within 6
months from the time the issue is joined; 90% within 9 months and 100%
within 12 months except for individual cases in which the court
determines exceptional circumstances exist and for which a continuing
review should occur."5
In Washington state in 1988, the Court Management Council recommended
to the Bureau of Judicial Administration that "90% of all probate cases
should be settled, tried, or otherwise concluded within 8 months (240
days) of filing, 98% within 18 months (540 days) of filing, and 100%
within 36 months (1,080 days) of filing."6
These states have adopted standards that the majority of estate
administrations be concluded within one year.
Summary
It was clear to the chief judges' subcommittee that the number of
estates pending in Wisconsin needed to be addressed and that registers
in probate and judges assigned to estates could use some assistance when
they try to move troublesome estates to conclusion. The chief judges
believed that the review of current cases pending, better access to
statistical data, and forms to provide better case control were some
good first steps for addressing a growing problem in the Wisconsin court
system. The Committee of Chief Judges will review the findings of the
case load cleanup to determine if the 12-month benchmark for completion
should be increased and to determine the factors that contribute to the
aging of cases.
Paraphrasing Robert Knoll, a subcommittee member and Milwaukee
Register in Probate, "Alternatives to probate have been increasing as
people plan to avoid probate. Probate isn't a bad thing in itself, but
poorly managed probate proceedings reflect not only on the courts and
staff, but also upon the bar."
In our view, public confidence in the probate process will be
enhanced by the adoption of time management standards. Time management
standards are an integral part of case flow management in almost every
other area of judicial administration. Time management standards promote
prompt conclusion of probate matters. The citizens of Wisconsin deserve
no less.
Endnotes
1David C. Steelman, John A. Goerdt,
& James E. McMillian, Caseflow Management: The Heart of Caseflow
Management in the New Millennium.
2Id. at 106.
3National Probate
Standards. A Project of the National College of Probate Judges and
the National Center for State Courts, at 13 (National Center for State
Courts, 1993).
4Id.
5Michigan Supreme Court Caseflow
Management Coordinating Committee, "Time Guidelines for Case
Processing," as referenced in Administrative Order 1991-4, at 26.
6Id. at 27.
John W. Roethe, U.W.
1966, is a Rock County Circuit Court judge, Branch 5. Kerry M. Connelly
is administrator of the Second Judicial District.
Wisconsin
Lawyer