Académique Documents
Professionnel Documents
Culture Documents
Prepared for:
July 2004
Prepared by:
Colleen Getz
TABLE OF CONTENTS
EXECUTIVE SUMMARY i
I. INTRODUCTION 1
A. In This Report 1
B. Project Scope and Methodology 2
III. IN CLOSING 13
A. Comments in Summary 13
REFERENCE SOURCES
APPENDIX
EXECUTIVE SUMMARY
¾ this survey focused on early assessment processes accessed at the stage of first
contact, or “stage 1”, of the family justice system; the survey was limited to
jurisdictions in Canada, U.S.A., U.K., and Australia
¾ the results suggest that clarity of purpose — or the way in which one defines the
conditions that are the focus of an early assessment process — is an important first
step in developing the foundations of that process
¾ most typically, the programs investigated had an internal focus — engaging in
intake/screening/assessment processes as a means of determining suitability for a
range of other services offered internally by their organization
¾ court-based, post-filing assessment processes are largely directed at early
“management” of cases for which more traditional litigation is suitable, early
settlement, or exploring ADR options.
(interesting applications: in Australia, the “Case Assessment Conference”
with both legal and social work professionals; in the U.S.: Connecticut —
“negotiations“ with Family Services Counsellors and “Case Management
Conferences” before Special Masters; Southern District of California —
“early neutral evaluation” as an assessment tool for determining
appropriateness for other ADR options; “Scheduling Conferences” for
directing people to ADR options in the Circuit Court of Anne Arundel County,
Maryland)
¾ although few evaluations were found, available evidence indicates that these
processes contribute to higher out-of-court settlement rates
¾ few programs were found to be stand-alone, broad-based assessment programs
with a view to connecting people with a range of services, whether internal or
external to their own organization
(notable exceptions: “Family Advice and Information Service (FAInS)” in the
U.K., and to a more limited extent, the “Information and Referral Service” at
the Family Conciliation Offices in Manitoba)
¾ the term “triage”, if used, is typically connected with programs oriented to crisis
intervention rather than the early assessment of a broad range of family cases as
envisioned in earlier papers prepared for the Working Group; our own Rule 5
triage process in B.C. is one of the exceptions
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
3. Scope of Assessment
¾ the scope of early assessment — that is, the degree to which information about
client circumstances is solicited and evaluated — is very much dependent upon the
particular repertoire of services offered by the organization following the initial
contact/intake, and the depth of assessment at the next step in the process
¾ the information gathered typically includes “tombstone” information, relationship
history, current circumstances, legally relevant information (income/financial,
children’s status, property and debts, etc.); information pertinent to a violence
screening process is also gathered, and the screen applied, at this early stage in
many programs
¾ additional information, and the scope of the assessment of all the information
gathered — for example, whether or not additional screening protocols are applied
or whether suitability for mediation/conciliation services is assessed — depends
upon the nature of the services available/referral options/next steps following the
assessment
(interesting applications: emergency relief process for child custody cases in
the Circuit Court for Anne Arundel County, Maryland, involves substance
abuse screening; assessment by court social workers at the New Brunswick
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
4. Meeting Formats
¾ as with assessment scope, the meeting format also depends on the point of access
and the nature of assessment provided at the next step, whatever that step may be
¾ most assessments involve one-on-one meetings with clients of varying durations;
telephone intake/assessment alone is uncommon, but is noted as frequently the
first form of contact with clients
(notable exception: “Information and Referral Service” at the Family
Conciliation Office in Manitoba where most of the intake assessment is done
over the phone by a qualified social worker)
¾ early assessment in most voluntary programs initiated at a pre-filing stage is rarely
undertaken with the couple together, unless mediation/conciliation is indicated
(notable exception: California Family Law Facilitators typically require
completion of a “disclosure form” prior to meeting with clients, and may work
with groups, couples, or individuals in walk-in clinics)
¾ since assessing the likely course the case will take through the courts — and
frequently early settlement — is the focus for court-based assessment processes
that are part of a case management mechanism, both parties and their counsel take
part in these processes
(interesting applications: “Case Assessment Conference” in Australia —
however, does involve a prior individual meeting to screen for family violence;
“Negotiations” and “Case Assessment Conferences” in Connecticut; “early
neutral evaluation” in the Southern District of California; “Scheduling
Conference” in the Circuit Court of Anne Arundel County, Maryland)
5. Assessment Officers
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
6. Conclusions
iv
Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
I. INTRODUCTION
A. In This Report
In July of 2003, a working group of B.C.’s Justice Review Task Force — the
Family Justice Reform Working Group (FJRWG)1 — was struck with a
mandate to explore a number of options in connection with the family justice
system in B.C. As part of this mandate, the Working Group was to:
¾ accessible
¾ effective
¾ integrated
¾ fosters early resolution
¾ minimizes family conflict
¾ oriented to the needs of children and families”.
A survey Mindful of the above criteria for the design of a family justice system, the
focused on survey focused primarily on assessment processes that occur in what the
assessment at
the first-contact Working Group has described as “stage 1” of the family justice system: the
stage of the time at which family clients make their first contact with the system. At this
justice system stage, the purpose of assessment is to ensure that referrals are made to
appropriate services — whether or not those services are delivered by the
family justice system — and to provide appropriate information about dispute
resolution options. Additionally, assessment at this stage would provide an
opportunity for cases to be “managed” early on in the process of dispute
resolution.
In addition to the general observations that are made and discussed in the main
body of this report, profiles of the more interesting programs discovered in the
course of the survey are provided in the appendix. These profiles provide a
brief overview of the main features of the assessment process. Information is
1
For the sake of brevity, the Family Justice Reform Working Group is referred to either as the
“FJRWG” or the “Working Group” throughout this report.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Limited to Employing the theory that justice systems largely similar to our own are
jurisdictions in
likely to yield assessment processes with a better “fit” for the B.C. family
Canada, U.S.,
U.K., and justice system, the survey was limited to jurisdictions in Canada, the United
Australia States, the United Kingdom, and Australia. The survey was further limited to
those sites that were named in the literature on family justice or dispute
resolution, identified by subject matter experts as being of interest, or were
found in a search of relevant Internet websites.
The survey was not, then, an exhaustive search of all programs and processes
that may exist in these jurisdictions. Rather, it was a more directed sampling
of those that were most likely to be of interest to the Working Group. The
work was greatly assisted by the fact that a considerable amount of very
detailed information is available on Internet websites in these jurisdictions.
Where insufficient detail was available, officials at selected sites were
contacted by email and telephone.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
The importance The stated purpose or orientation of an early assessment process tells much
of purpose
about the likely features and content of these processes. The results of the
survey suggest that clarity of purpose — or the way in which one defines the
conditions that are the focus of an early assessment process — is an important
first step in developing the foundations of that process.
Most typically, the processes investigated in the course of the survey had an
internal focus, to the extent that they primarily engaged in intake/screening/
assessment processes as a means of determining suitability for a range of other
services offered internally by the organization. Court-based assessment
processes, in particular, were almost universally internally focussed. They are
largely directed at early settlement, exploring various in-house dispute
resolution options, or early “management” of cases for which more traditional
litigation is suitable. Additionally, court-based assessments rarely involved an
assessment of needs in other-than-legal terms.
A “social side” to The case assessment conference employed by the Family Court of Australia is
case assessment one such example. These conferences are conducted by a legally-trained
in Australia Deputy Registrar in cases involving property, a Court Mediator who is a
qualified social worker in cases involving children’s issues, or both in cases
involving both property and children’s issues (see also discussion under E.
Assessment Officers). The “social side” of these conferences is, perhaps,
addressed as much by who conducts them as by design, since the purposes that
have been articulated for the conference process are largely oriented to
administration.2 Nevertheless, the interests of the court in expediting justice
2
The purposes that have been identified as most important for the case assessment conference are to:
• identify and assess the main factual and legal issues of the case;
• target future services of the Court to meet the needs of the case;
• provide an early opportunity to reach agreement with the aid of an officer of the Court; and
• adopt a case management pathway.
(Source: 5.4 Case Assessment Conference, Case Management Directions. Practice Direction 3 -
2002, Family Court of Australia, effective date: 1 August 2002.)
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Similar court-based case management applications, but which also employ less
traditional court-oriented mechanisms, can be found in the scheduling
conference in the Circuit Court of Anne Arundel County, Maryland, and
negotiations and case management conferences in Connecticut. In both
jurisdictions, these early procedures are a mandatory first step in the court
process for family cases. Also in both, the court is supported by ancillary
services that offer counselling support as well as a range of court-sponsored
ADR programs.
Multiple In Connecticut, there are several procedural steps that encourage settlement, or
opportunities for
assessment and
divert cases out of the regular court system into appropriate ADR services.
settlement in The earliest stage 1 assessment process involves a “negotiation” with a
Connecticut counsellor from the Family Services office attached to the court. This is a
mandatory step that, if not undertaken before the parties’ first appearance in
court, will be ordered by the judge at that time. At the conclusion of a
3
“What is the Scheduling Conference?”, Understanding and Preparing for the Family Law Scheduling
Conference. Circuit Court for Anne Arundel County, Maryland.
http://www.circuitcourt.org/Family%20Law/family%20brochure.htm, website searched 21 June 2004.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
negotiation, many cases are reported to either settle or be directed to one of the
ADR services offered by the Family Services office.
“Early Neutral Another unusual example is the use of early neutral evaluation in the Southern
Evaluation” as District of California — in this case, deploying what is typically an ADR
an assessment method as a type of assessment process. On an experimental basis, nearly all
tool in the
Southern District civil cases, including family, are required to appear before a magistrate judge
of California for early neutral evaluation. As part of this process, the magistrate judge
explores the court-sponsored ADR options that are available, including
arbitration, mediation, and settlement conference. If a settlement does not
transpire at the conclusion of this process, the parties may select one of these
options, or the magistrate judge may order their participation in one of them.
Or, they may proceed along the usual trial route if the likelihood of settlement
by other means is unlikely.
Higher out-of- Although very few evaluations were found (and of these fewer still focused on
court settlement stand-alone early assessment processes as distinct from other dispute
rates
resolution mechanisms to which they may be attached), available evidence
indicates that these processes contribute to higher out-of-court settlement rates.
For example, the experience in Australia is that about 30% of applications for
final orders, and about 40% of applications for interim orders, settle at the
conclusion of an assessment conference.4
4
Statistics quoted in “Project Mercury – National Implementation”, excerpts from pages on the Family
Court of Australia Intranet, provided by Peter Maynard, Manager Strategy and Review, National
Support Office, Family Court of Australia.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Information Service (FAInS) in the U.K., and, to a more limited extent, the
Information and Referral Service at the Family Conciliation Offices in
Manitoba.
Information The Information and Referral Service administered by the Family Conciliation
and referral in Offices in Manitoba is, really, more of an intake service for the other programs
Manitoba offered through these offices — which include a range of counselling support
and assessment programs, accessed either by court-order or voluntarily.
Nevertheless, the intake assessment is conducted by a qualified social worker,
and involves a preliminary assessment of the client’s situation beyond what
would strictly be a determination of eligibility for these other programs. They
also have a careful policy of compiling information about external programs in
the community for information and referral purposes.
“Triage” — The term “triage” is rarely used — at least, by the jurisdictions surveyed — in
typically reference to a broad-based assessment process. Our own “Rule 5” triage
connected process in B.C. is one of the exceptions. If the term is used, it is typically
with crisis
intervention connected with programs oriented to crisis intervention rather than the early
rather than assessment of a broad range of family cases as envisioned in earlier papers
assessment prepared for the Working Group5.
For example, in the Circuit Court for Anne Arundel County, Maryland, there is
an emergency relief “triage” process for child custody cases. The process is,
however, strictly for the management of emergency cases. The Family Court
in Dover, Delaware, features a “Triage Unit” — but theirs is largely an
information/help desk without any in-depth assessment process. Here in
Canada, the Manitoba Family Conciliation Offices are considering the
development of a triage function. But, here too, such a function is conceived
of as part of a crisis intervention process for at-risk clients.
5
In addition to the papers prepared by Irene Robertson for the Working Group, a useful protocol for
triage and elements of assessment in a triage process is outlined by Jeannette De Varis, in: “A Three-
Tiered Decision Tree Triage Strategy for Alternative Child Custody Disputes”, New Jersey
Chapter of Family and Conciliation Courts, The New Jersey Family Court Conciliator, Spring
2002. http://www.psychologyinfo.com/NJ-AFCC/spring2002.html.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Access — a Access is also a defining feature of an early assessment process in the family
defining feature of
early assessment
justice system. More specifically, the point(s) in the evolution of a family case
processes at which assessment processes are accessed, and the means by which they are
accessed, are defining features. The array of options of which family clients
can subsequently take advantage is either more or less restricted, depending on
the placement of the assessment process. The type of access may also send a
message about how the system views family clients: is their dispute a “case”,
to be treated as a single entity or event, or is it part of a relationship, that will
continue to evolve even after dissolution of the marriage — with all the
pursuant complexities by which human relationships are characterized?
The point of access to an assessment process was found to vary greatly across
the jurisdictions surveyed — some at a pre-filing stage, some post-filing
(particularly if assessment is part of a court case management process), and
others at any stage along the way. While “early” assessment was highlighted
as of primary importance in most of the programs profiled (see Appendix),
whether accessed at a pre- or post-filing stage, some particularly emphasized
the fact that their services support clients at any time that access to the family
justice system and other support services may be necessary.
6
“How does it Work?”, Family Advice and Information Service Pilot Project (FAInS), Legal Services
Commission, London, U.K. http://www.legalservices.gov.uk/fains/, website copyright © 2000.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
process, these processes are only accessed by clients that have already defined
their issues in legal terms. The specific mechanisms by which assessment is
compelled in these programs are familiar ones; they may be by court order, as
mentioned, or they may be specified in case management rules designated by
standing order or practice directive.
Mixed Few assessment processes had mixed voluntary and mandatory access features.
voluntary and Those that did typically formed part of an intake process for another program
mandatory
access — that took mandatory referrals, for example, a mandatory information session or
Manitoba and court-ordered custody assessment process. There are two good examples of
New mixed-access programs of this type in Canada, again the Information and
Brunswick Referral Service at the Family Conciliation Offices in Manitoba, and the
assignment of court social workers in the Court of Queen’s Bench, Family
Division in New Brunswick.
The Manitoba program has already been described above, and in the previous
section, as being largely an intake assessment process for a range of both
court-ordered and voluntary information, counselling support, and
custody/access assessment programs offered by the same office. In New
Brunswick, court social workers have been attached to the court — originally
with the Provincial Court — since the mid-1970s. This “social arm” of the
court was then integrated as part of the unified family court in the early 1980s,
introduced as the Court of Queen’s Bench, Family Division. Any client,
whether they have initiated a court proceeding or not, may see a court social
worker for information and advice, or referrals to other professionals,
programs, or services.
C. Scope of Assessment
Scope The scope of early assessment — that is, the degree to which information
depends on
the next step
about client circumstances is solicited and evaluated — was found to be very
much dependent upon the particular repertoire of services offered by the
organization following the initial contact/intake, and the depth of assessment at
the next step in the process. The information gathered by the programs
profiled in the course of the survey typically include the following, at a
minimum:
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
¾ “tombstone” information
¾ relationship history
¾ current circumstances, and
¾ legally relevant information (income/financial, children’s status, property
and debts, etc.).
Substance Additional information, and the scope of the assessment of all the information
abuse gathered — such as whether or not additional screening protocols are applied,
screening, or whether suitability for ADR methods such as mediation or conciliation
and legal aid
services is assessed — depended upon the nature of the services available, the
eligibility
assessment referral options, or the next steps following the assessment. For example, the
emergency relief “triage” process described earlier for child custody cases in
the Circuit Court for Anne Arundel County, Maryland, involves substance
abuse screening. At the New Brunswick Court of Queen’s Bench, Family
Division, court social workers conduct a legal aid eligibility assessment as part
of their intake process.
A better “fit” in Some early assessment processes appeared to have a better “fit”, or were more
unified family readily incorporated within the larger justice process, if they were part of a
or multi-door more holistic justice-delivery concept such as the multi-door courthouse or
courthouses
unified family court. The FJRWG is already familiar with both these concepts.
However, it is instructive that the Boston Law Collaborative defines multi-
door courthouse in their “Glossary of Dispute Resolution” as follows:
From this definition, the “screening” of cases and “matching” of clients with
services in multi-door courthouses is consistent with the theory behind triage
or early assessment in the family justice system.
7
Dispute Resolution Glossary of Terms, Boston Law Collaborative, Boston, Massachusetts.
http://www.bostonlawcollaborative.com/documents/, website searched 13 May 2004.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
D. Meeting Formats
One-on-one As with assessment scope, the meeting format also depends on the point of
meetings
are typical
access and the nature of assessment provided at the next step, whatever that
step may be. Most assessments were found to involve one-on-one meetings
with clients of varying durations.
8
See discussion in “The Multi-Door Courthouse”, Alternate or Assisted Dispute Resolution.
Adversarial Background Paper 2, Australian Law Reform Commission, December 1996.
http://www.austlii.edu.au/au/other/alrc/publications/bp/2/alternative.html#5.Referralsystems-
Themultidoorcourthouse, website copyright © 2001.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Both parties In court-based assessment processes that are part of a case management
and their mechanism, both parties and their counsel typically take part. Some of the
counsel examples already discussed illustrate this observation, including: the Case
attend, if part Assessment Conference in Australia; negotiations and subsequent Case
of a case
management Management Conferences in Connecticut; early neutral evaluation in the
mechanism Southern District of California; and Scheduling Conferences in the Circuit
Court of Anne Arundel County, Maryland. With some of these processes,
however, there may be a prior meeting with the parties individually to screen
for family violence. In any case, to the extent that the objective of these case
management processes are primarily to assess the course the case is likely to
take through the courts — and, in the examples noted, very much settlement
oriented — both parties need to be present.
E. Assessment Officers
Assessment
officers have
Early assessment processes in all jurisdictions involved people with
specialized
specialized training. In all cases, assessment processes were conducted either
training by legal or social service professionals, or both — social workers,
psychologists, mediators, lawyers, quasi-judicial officers, judges/magistrates,
or combinations of these.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
The subject of In FAInS, the community-based project in the U.K., family solicitors currently
pre-project provide the information and referral services offered through the project.
research in the Solicitors were chosen because of pre-project research that showed that 81% of
U.K.
people experiencing family or relationship difficulties chose to visit a family
solicitor. The project is, nevertheless, exploring the possibility of other
professionals delivering these services — in particular, family mediators.
These other professionals would not, obviously, be in a position to provide
legal advice. The full range of other information and referral services would,
however, be available.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
III. IN CLOSING
A. Comments in Summary
This was a very brief survey of early case assessment processes in the family
justice systems of Canadian, American, Australian, and British jurisdictions —
and only of selected jurisdictions about which information is readily available
or which have been highlighted for attention by experts in this field.
Nevertheless, the survey has been very instructive for such processes in a
“made-in-B.C.” family justice system.
Family justice The survey results suggest that broad-based early assessment or “triage”
“triage” is processes that operate with a view to connecting people with a range of family
relatively rare
justice and related support services — whether internal or external to the
sponsoring organization — are relatively rare. Those that do exist vary in the
purposes that have been articulated for them, for instance, whether they are
largely directed at intake, information or referral, or oriented to the early
settlement of a dispute.
Perhaps not surprisingly, these stated “purposes” and the access features of the
assessment processes were the defining features of those examined in the
course of the survey. In the design of an early assessment process, therefore,
great care must be taken in consideration of these features. The key objectives
of the process — intake, information and referral, early settlement — and the
point and mode of access to it, also largely determines the array of options of
which family clients can subsequently take advantage in resolving their
disputes.
Placement In respect of the placement of the assessment process and how it is accessed,
and access — evaluation efforts have not so far been particularly focussed on these subjects
important
implications — whether community or court-based, pre or post-filing, voluntary or
mandatory access. Nevertheless, details gathered from practitioners in other
jurisdictions, and from other information generally available about their
programs, suggest that placement and access may have important implications
for the following:
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Specialized Finally, lessons were learned in this survey about the people who conduct early
training and assessment or triage processes. In addition to the professional qualifications
experience is
necessary
that assessment officers bring with them in the relevant areas of the law, social
work, or other related subjects, the results of the survey indicate that
specialized training and experience is necessary to conduct early assessments
in a manner that is both effective and sensitive. Particularly if early settlement
is one objective of the process, these professionals must have the necessary
training — perhaps the authority — to broker an agreement.
A valuable In conclusion, the experience of other jurisdictions indicates that early case
component of a
“made-in-B.C.”
assessment would be a valuable component — perhaps even an indispensable
family justice one — of a better integrated, more holistic, more efficient and effective family
system justice system in B.C.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
REFERENCE SOURCES
GENERAL REFERENCES
Cole, Sarah, McEwan, Craig, and Rogers, Nancy. Mediation: Law, Policy,
and Practice. Cumulative Supplement, Vol. 1. Thomson West, 2002.
Intake/Triage
Hurst Jr., Hunter and Halemba, Gregg. Features of a Full Service Family
Court Ohio Family Court Bulletin, Vol. 2, Issue 3, Fall 2001.
http://www.sconet.state.oh.us/Judicial_and_Court_Services/family_court/v
ol2num3.pdf, website searched May 2004.
Multi-Door Courthouse
R-1
Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
JURISDICTIONS
Australia
Foster, Richard. Triage in Family Court Services: Doing More With Less.
presentation at AFCC 39th Annual Conference, 5-8 June 2002. Family
Court of Australia.
http://www.familycourt.gov.au/papers/html/foster.html, website copyright
© 2004.
R-2
Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Canada
General References
Unified Family Court. Background and Discussion Paper #1, B.C. Justice
Review Task Force, 7 October 2002.
http://www.bcjusticereview.org/recent_announcements/2002/jrtf_paper_10
_07_02.pdf, website searched May 2004.
Manitoba
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
New Brunswick
Newfoundland
Ontario
Quebec
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Sakatchewan
Family Law Division & Related Family Law Support Services. Saskatchewan
Justice, Government of Saskatchewan,
http://www.saskjustice.gov.sk.ca/Family_Law/services/publicedu.shtml,
latest update 22 June 2004.
United Kingdom
Family Advice and Information Service Pilot Project (FAInS, Legal Services
Commission, London, U.K. http://www.legalservices.gov.uk/fains/,
website copyright © 2000.
United States
California
R-5
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Colorado
Connecticut
Alternative Dispute Resolution/Mediation. Judicial Branch, State of
Connecticut, http://www.jud.state.ct.us/external/super/altdisp.htm, website
copyright © 2004.
R-6
Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Deleware
Florida
Court Care Center. 9th Judicial Circuit, Orange County Courthouse, Orlando
Florida, http://ninja9.org/courtadmin/familyintake/courtcarecenter.htm,
website searched June 2004.
9th Judicial Circuit — Orange and Osceola Counties. Judicial Circuit Court of
Florida. http://www.flcourts.org/osca/divisions/family/fam9.pdf, website
searched June 2004.
Maryland
Cassel, Jennifer K., Triage Services. Circuit Court for Anne Arundel County,
Maryland, undated document.
Massachusetts
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Michigan
Ohio
Hurst Jr., Hunter and Halemba, Gregg. Features of a Full Service Family
Court Ohio Family Court Bulletin, Vol. 2, Issue 3, Fall 2001.
http://www.sconet.state.oh.us/Judicial_and_Court_Services/family_court/v
ol2num3.pdf, website searched May 2004.
Oregon
Pennsylvania
“First Filing Unit”, Municipal Court – Civil Division. First Judicial District of
Pennsylvania, Philadelphia, Pennsylvania.
http://courts.phila.gov/municipal/civil/#drp, website copyright © 1997 to
2003.
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Virginia
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APPENDIX
A-1
Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
This survey revealed, not surprisingly, that there are a huge variety of types of
processes or programs that might be described as early assessment processes for
family cases. In general, however, these processes can be classified into two broad
categories: community-based or non-court programs, and court-based programs.
Details have not been provided about all the programs examined in the various
jurisdictions surveyed. Rather, programs were selected and described, below, if they
offer a broad-based, more holistic service, or simply employ interesting techniques in
their assessment processes that may have some application in the development of an
early assessment process for family disputes in B.C.
Community-Based Programs
¾ Information and Referral Service, Manitoba
¾ Family Advice and Information Service (FAInS), U.K.
Court-Based Programs
¾ Family Law Facilitator, California
¾ Early Assessment in Multi-Door Courthouses: Various Jurisdictions
¾ Early Assessment in Unified Family Courts: New Brunswick
¾ Assessment Processes Connected With Case Management Mechanisms:
Various Jurisdictions
A. Community-Based Programs
Although every jurisdiction surveyed had many community programs that provided
support to families in respect of almost any need, very few of these programs had any
direct connection with the family justice system. Two programs, in particular, stand
out as exceptions: the “Information and Referral Service” in Manitoba, and the
“Family Advice and Information Service” (FAInS) in the U.K.
These two programs were also unique among all the programs reviewed — both
community and court-based — in the scope of their assessment and referral processes.
They appeared to have the most broad-based applications, with the most inter-
disciplinary approaches to the assessment of client needs and referral, of all those
surveyed.
A-2
Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Overview:
Individuals and families are assisted in identifying problems and possible
solutions. A determination is made of where service can best be provided (by
Family Conciliation Services Branch, lawyers or the court, or agencies in the
community as may be appropriate to their situation), and clients are
accordingly referred. The office has a close working relationship with and
takes referrals from the Family Division of Manitoba’s Court of Queen’s
Bench.
Meeting Format:
One-on-one, typically by telephone at time of initial contact; service may be
provided at various points until a dispute is resolved.
Access Mechanism:
Voluntary; self-referrals or referrals from other community/justice agencies.
Notes:
This is largely an intake process for the following related services offered by
Family Conciliation Offices: parent information program; mediation;
conciliation counselling; support and education program for children; brief
consultation services (court-referred, for parents regarding older children ages
11 to 16); and court ordered assessments.
Overview:
FAInS is a pilot project launched officially in the spring of 2003 (following a
pre-pilot phase of approximately 2 years), and is expected to conclude in the
spring of 2006. The pilot opened initially in ten sites around England and
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
In each pilot site, client services are provided by a solicitor who is able to
provide legal advice (and if necessary legal representation), but also helps to
identify other specialized services, e.g., family counselling, debt counselling,
mediation, etc. The solicitor “acts as the client's 'case manager' as the client
addresses his or her issues”9 at any time in the course of resolving a family
dispute.
Assessment Officer:
Currently, private Family Solicitors (pre-project research showed that 81% of
people experiencing family or relationship difficulties chose to visit a family
solicitor); however, they are looking at other models or access points as well,
e.g., mediation services, in which other professionals would be the ‘case
manager’.
Meeting Format:
One-on-one, in-person meeting; service may be provided at various points
until a dispute is resolved.
Access Mechanism:
Voluntary; self-referrals or referrals from other community/justice agencies.
Evaluation Results:
In progress; a research program supporting the FAInS project is focussing on
processes and outcomes in an effort to inform and influence the future
direction of the service.
Notes:
Significant research — prior to the launch of the pilot, during a pre-pilot phase,
and now during the full pilot phase — is featured as a key element of this
project.
B. Court-Based Programs
9
“How does it Work?”, Family Advice and Information Service Pilot Project (FAInS), Legal Services
Commission, London, U.K. http://www.legalservices.gov.uk/fains/, website copyright © 2000.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
In the same way that very few community-based programs were connected with the
services available through the courts, few court-based early assessment programs were
oriented to services outside the court system — although there may well be informal
mechanisms by which clients may be made aware of or referred to resources in the
community. California’s Family Law Facilitator appears to be one of the exceptions.
Most of the other court-based assessment processes explored in the context of the
survey were components of a case management process: processes designed to
expedite the court process, or in some instances, screen out cases where settlements
are possible or ADR is suitable. If not part of a case management process, the next
most frequent court-based assessment processes at an early stage in the justice process
were typically attached to courts classified as operating under a “multi-door” or
“unified family court” concept of justice delivery.
Overview:
The Office of the Family Law Facilitator provides services for un-represented
couples concerning child and sometimes spousal support issues. Following an
initial meeting (either individual, couple, or group), the family law facilitator
provides information materials on how to establish parentage, or get, change,
or enforce child or spousal support orders. They can also provide court forms,
assist in forms completion, help determine support amounts, and arrange
referrals (to child support agencies, family court services, other community
agencies).
Meeting Format:
Initial meeting may be an individual, couple, or group meeting; clients must
first prepare a “disclosure form” prior to meeting with the family law
facilitator.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Access Mechanism:
Voluntary; self-referrals or referrals from other community/justice agencies.
Evaluation Results:
An evaluation of the larger Child Support Commissioner System in California
— of which the Family Law Facilitator is a part — was completed in 2002.
The evaluation focussed on access to the child support process, speed and
efficiency in processing child support cases in the courts, conflict between
parties, working relationships between system partners, fairness, customer
satisfaction, cost-effectiveness, and professional development opportunities.
Largely positive results were recorded in all these areas. Unfortunately, the
evaluation did not specifically address the assessment process, as distinct from
the other services provided by the office.
Notes:
The restricted definition of eligible family cases in this model — typically
child support only — is fairly limiting in its application to a broader-based
family triage process.
Overview:
Multi-door courthouses are featured as being accessed centrally, but with many
doors opening into a variety of forms of dispute resolution. The “Dispute
Resolution Reference” in Martindale.Com describes the concept as follows:
“Rather than simply adding all cases to the litigation docket, multi-door
courthouses direct disputants to "intake specialists" (emphasis added)
who assess the disputes and determine the optimal routes to resolution.
Those routes may include assistance from community resource centers,
early neutral evaluation, mediation, arbitration, mini trial, summary
jury trial, or litigation, among others.”10
10
“Multi-Door Courthouse”, Alternate Dispute Resolution Reference. adr.Martindale.com, LexisNexis
Martindale-Hubbell, New Providence, NJ.
http://www.martindale.com/xp/Martindale/Dispute_Resolution/ADR_Reference/Service_Roles/multi-
door_courthouse.xml, latest update February, 2002.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Assessment Officer:
Variable — may be an intake officer with a clerical background (where
preliminary intake data is collected, rather than a detailed assessment
undertaken), or may be a mediator, quasi-judicial officer, or other professional
with a legal or social work background.
Meeting Format:
One-on-one, in-person meeting, typically at time of first contact with the court.
Access Mechanism:
Voluntary; self-referrals or referrals from other community/justice agencies.
Evaluation Results:
Largely anecdotal evidence of success is available. Little is written about the
intake process established for these courts. The Australian Law Reform
Commission was, however, critical of multi-door courthouses for inadequate
or poorly integrated intake and referral processes in their paper on “Alternate
or Assisted Dispute Resolution”.11
Notes:
While appealing in theory, multi-door courthouses appear not to have been
fully implemented in the manner originally intended by the concept’s founder,
Professor Frank Sanders. Since no universal or standard features of a multi-
door courthouse have been identified, models vary greatly from location to
location.
The “unified family court” concept is already very familiar to the FJRWG. Only New
Brunswick’s intake/assessment process is presented here as a unique example of one
applied in a unified family court.
11
“The Multi-Door Courthouse”, Alternate or Assisted Dispute Resolution. Adversarial Background
Paper 2, Australian Law Reform Commission, December 1996.
http://www.austlii.edu.au/au/other/alrc/publications/bp/2/alternative.html#5.Referralsystems-
Themultidoorcourthouse, website copyright © 2001.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Overview:
The New Brunswick Court of Queen’s Bench, Family Division has a well-
established “social arm” that pre-dates the introduction of the unified family
court in 1982. Anyone looking for information and assistance with issues
arising from separation and divorce may see a Court Social Worker (CSW).
Assessment Officer:
Court Social Worker, with a degree in social work and membership in good
standing with the NB Association of Social Workers; approximately half are
also certified mediators with Family Mediation Canada; others have mediation
training and other certification.
Access Mechanism:
Voluntary; self-referrals or referrals from other community/justice agencies.
Meeting Format:
One-on-one, in-person meeting, of approximately 1 hour in duration.
Evaluation Results:
No formal evaluation is available, and no outcomes expressed specifically in
connection with the intake/assessment process. The success rate of the ADR
methods utilized is thought to be about 65% to 70% ending in complete
agreement, and about 15% to 20% in partial agreement. Only about 15% of
cases proceed through the more traditional adversarial route.
Notes:
The well-established, very well integrated characteristics of the intake
assessment process in New Brunswick is, in part, a result of the structure of the
legal aid program in the province. Legal aid for family cases is not means
tested, but it is only available to those for whom mediation is contra-indicated.
If an abuse assessment discloses a history of abuse, mediation and other
conciliation services are not offered, but Legal Aid New Brunswick will make
the services of a family solicitor available.
iv. Assessment Processes Connected With Case Management Mechanisms:
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Various Locations
Overview:
In Australia:
The Family Court of Australia’s Family Court Case Management Guidelines
(practice direction) recognizes a three-phase approach to case management: 1)
prevention (non-court ADR options), 2) resolution, and 3) determination. The
prevention phase lies outside the court’s purview, and no centralized access
point is identified. The resolution phase, however, includes a “case assessment
conference” — that can be classified as a form of early assessment process —
in which individuals may be directed into conciliation counselling, mediation,
and other court-based dispute resolution programs.
In Connecticut:
Counsellors with the Family Services office attached to the court attend court
on a weekly basis to “negotiate” short calendar and contempt calendar motions
before they are heard in court. At the negotiation, a determination is made
about whether the matter is likely to settle by means of mediation or other
ADR service available through the office. Limited contested cases (typically
financial matters) that do not settle at the negotiation stage may go to a tiered
settlement conference process: tier one, before a Special Master; and tier two,
before a retired judge. Only fully contested matters proceed to trial.
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Assessment Officer:
In Australia:
Case assessment conferences are conducted by a legally-trained Deputy
Registrar in cases involving property; a Court Mediator who is a qualified
social worker in cases involving children’s issues; both Deputy Registrar and
Court Mediator in cases involving both property and children’s issues.
In Connecticut:
Counsellors who conduct “negotiations” typically hold a masters degree in the
social sciences (either in social work or psychology), although there are also
some attorneys. They must complete 180 hours of prior training, and meet
stringent annual continuing education requirements. The Special Masters who
conduct tier 1 “settlement conferences” work in pairs comprised of two Family
Services Counsellors/Supervisors, two attorneys (acting on a volunteer basis),
or a counsellor-attorney combination.
Meeting Format:
Typically both parties, and their lawyers, are present for the conference or
meeting; in some instances, there may be a prior individual meeting in the
event that an abusive history is disclosed.
Access Mechanism:
Mandatory; typically by practice direction or standing order.
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Cross-Jurisdictional Survey of Early Case Assessment in Family Disputes
Evaluation Results:
Results on completion of “Project Mercury” — the project through which the
Family Court of Australia implemented the case assessment conference
country-wide, with the exception of the State of Western Australia — found
that about 30% of applications for final orders, and about 40% of applications
for interim orders, settle at the conclusion of an assessment conference.12
Notes:
While conferencing and other assessment procedures as part of a case
management process do not, perhaps, occur early enough to be fully a “stage
1” assessment process, these processes have many of the same objectives and
involve a similar approach to assessment as those that occur earlier. Their
mandatory nature, however, provides a different dynamic — in part because of
the compulsory participation of both parties, in part because of the added
authority of the people conducting these assessments.
12
“Project Mercury – National Implementation”, excerpts from pages on the Family Court of Australia
Intranet, provided by Peter Maynard, Manager Strategy and Review, National Support Office, Family
Court of Australia.
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