CHAPTER SEVEN - Angelo State University · PDF fileCHAPTER SEVEN. Justice ... US Supreme Court...

Court Organization and Operation

Courts and camps are the only place to learn the world in.

—EARL OF CHESTERFIELD

CHAPTER SEVEN

Justice Administration: Police, Courts, and Corrections Management, 6/e

Kenneth J. Peak

© 2010 Pearson Higher Education,

Upper Saddle River, NJ 07458. • All Rights Reserved.2

LEARNING OBJECTIVES

At the conclusion of this chapter, the student will:

be familiar with the ramifications of the adversarial

system

know the importance of citizen groups in the

courtroom

understand the organization and administration

of our dual (federal and state) court systems

comprehend the roles and functions of the

Judicial Conference of the United States and

the Administrative Office of the U.S. Courts

be able to explain the kinds of jurisdiction that

courts possess


Kenneth J. Peak



LEARNING OBJECTIVES


be familiar with state courts and trial courts of

general and limited jurisdictions

know the four components of court unification, how

a unified court is organized, and the functional and

financial advantages of court unification

understand the importance of court decor and

decorum

understand why the courts' caseloads have

increased

understand the influence of courts on policymaking

(cont.)


Kenneth J. Peak



Inside the CourtsDecor, Decorum, Citizens - Hallowed Places

Practically everything one sees & hears in an

American courtroom is intended to convey that

the courtroom is a hallowed place in our society.

Scarcely any political question arises in the US

not resolved, sooner or later, into a judicial question.

The physical décor one finds in the courts convey

this sense of importance.

Courtroom design also provides a safe, functional

space conducive to efficient/effective proceedings.

the arrangement reflects society’s view of appropriate

relationships between defendant & judicial authority


Kenneth J. Peak



Inside the CourtsDecor, Decorum, Citizens - Hallowed Places

A formal level of decorum is accorded this

institution.

all people must rise when the judge enters

permission must be granted to approach the bench

a general attitude of deference is granted the judge

A vitriolic utterance that could lawfully be directed

to the president of the United States could result

in an individual being jailed for contempt of court.

when directed to a judge


Kenneth J. Peak



Inside the CourtsJustice in the Eye of the Beholder

Whether or not justice is obtained in the courtrooms

depends on the interests or viewpoints of the

affected or interested parties.

a victim may not agree with a jury’s verdict;

a civil case winnner may not believe that he/she

received an adequate sum for suffering or damages

Because the definition of justice is not always

agreed on, the courts must appear to provide justice.

Many people today are put off by accounts of what

they perceive as coddling of offenders and ravages

of the “law’s delay”.


Kenneth J. Peak



Inside the CourtsSeeking Truth in an Adversarial Atmosphere

Emerson stated “every violation of truth . . . is a stab

at the health of human society.”

Most people would agree the traditional, primary

purpose of the courts is to provide a forum for

seeking and obtaining the truth.

US Supreme Court declared in 1966 in that “the

basic purpose of a trial is the determination of truth”

Many Americans have the impression that truth is

being compromised and even violated with regularity

in apparatus of our justice system.

and an impediment is the adversarial system itself


Kenneth J. Peak



Inside the CourtsA Dual Court System

It is important to know that this country has a dual

court system.

One national federal court system.

50 state courts system.

plus the system of the District of Columbia


Kenneth J. Peak



Federal Court Organization/Administration

The Supreme Court: Jurists, Traditions, & Work

Judges And Advocacy - the US Supreme Court is

the highest & one of the oldest courts in the nation.

nine justices: 1 chief justice & 8 associate justices

All who wish to advocate must first secure admission

to the Supreme Court bar.

Applicants must have been admitted to practice in

the highest court of their state for 3 years and file a

certificate attesting the applicant is in good standing.

Applicants must swear or affirm to act “uprightly and

according to law, and . . . support the Constitution of

the US.”


Kenneth J. Peak





Inside The Court: Revered Traditions And

Practices - on the architrave above the portico of

the Supreme Court Building are inscribed the words

“Equal Justice Under Law.”

Justice Robert Jackson once described the Court’s

uniqueness: “We are not final because we are

infallible, but we are infallible because we are final.”

In many respects, the Court is the same institution

that first met in 1790.


Kenneth J. Peak





Caseload & Conferences - the Court does not

meet continuously in formal sessions during its term.

sessions are divided into 4 separate, related activities

Time is allocated to reading through the petitions for

review of cases that come annually to the Court.

Second, the Court allocates time for oral arguments

The third allotment is for private discussions of how

each justice will vote on cases they have just heard.

A fourth block of time is for work on writing opinions.


Kenneth J. Peak





The Court has complete discretion to control the

nature and number of the cases it reviews.

by means of the writ (order) of certiorari

The Court hears only a tiny fraction of the thousands

of cases it is petitioned to consider.

when it declines to hear a case, the decision of the

lower court stands as the final word on the case

Adding to the Court’s workload is a steady growth in

legislation requiring judicial interpretation.

and an increasing number of constitutional & other

issues that can be reviewed in the federal courts


Kenneth J. Peak



Federal Court Organization/AdministrationUS Courts of Appeals

The courts of appeals are the intermediate courts

of appeals for the federal court system.

A court of appeals hears appeals from the district

courts located within its circuit, as well as appeals

from decisions of federal administrative agencies.

The courts are staffed by 179 judges nominated

by the president and confirmed by the Senate.

As with the Supreme Court, the caseload of the

courts of appeals has grown as well; in 2001 there

were 57,464 cases filed; by 2006 that number had

risen to 70,375—a 23 percent increase.


Kenneth J. Peak



Federal Court Organization/AdministrationUS District Courts

Congress created 94 US district courts, of which 89

are located within the 50 states.

at least one district court in each state; some states

have more, such as California, New York, & Texas

As with the other federal courts, the president

nominates district judges, who must be confirmed.

they serve for life unless removed for cause

US district courts are courts of original jurisdiction

for all major violations of federal criminal law.

District Criminal cases filed increased from 62,957

in 2002 to 68,090 in 2006, or about 8 percent.


Kenneth J. Peak



Figure 7.1 Geographic boundaries of US Courts of

Appeals and US District Courts. Source: US Courts

of Appeals and US District Courts

www.uscourts. gov/images/circuitmap.pdf.

Federal Court Organization/AdministrationUS Courts of Appeal & US District Court Circuits


Kenneth J. Peak



Federal Court Organization/AdministrationJudicial Conference of the US

The administrative policymaking organization of the

federal judicial system.

Membership consists of the chief justice, the chief

judges of each of the courts of appeals, one district

judge from each circuit, and the chief judge of the

Court of International Trade.

Meets semiannually for 2-day sessions.

most of the work is done by about 25 committees

The Judicial Conference directs the Administrative

Office of the US Courts and plays a major role in

impeachment of federal judges.


Kenneth J. Peak



Federal Court Organization/AdministrationAdministrative Office of the US Courts

Since 1939, the day-to-day administrative tasks of

the federal courts have been handled by the

Administrative Office of the US Courts (AO), a

judicial agency.

The director of the AO is appointed by the chief

justice of the Supreme Court and reports to the

Judicial Conference.

The AO is also the housekeeping agency of the

judiciary, responsible for allotting authorized funds

and supervising expenditures.


Kenneth J. Peak



State CourtsLast Resort

Courts of last resort are usually referred to as

state supreme courts.

specific names differ from state to state, as do the

number of judges from five to as many as nine

These courts do not use panels in making decisions.

the entire court sits to decide each case

All have a limited amount of original jurisdiction in

such matters as disciplining lawyers and judges.

In those 11 states without an intermediate court of

appeals, the state supreme court has no power to

choose which cases will be placed on its docket.


Kenneth J. Peak



State CourtsLast Resort

The ability of most state supreme courts to choose

cases makes them important policymaking bodies.

state supreme courts handle 100 or so cases that

present the most challenging legal issues in the state

Nowhere is the policymaking role more apparent

than in deciding death penalty cases.

which in most states are automatically appealed to

the state’s highest court, bypassing the intermediate

courts of appeals

State supreme courts are the ultimate review board

for matters involving interpretation of state law.


Kenneth J. Peak



State CourtsAppellate

Like federal counterparts, state courts have

experienced growth in appellate cases that

threatens to overwhelm the state supreme court.

To alleviate caseload burden, officials in 39 states

created intermediate courts of appeals (ICAs).

ICAs must hear all properly filed appeals

ICAs represent the final stage of the process for

most litigants.

very few cases make it to appellate court, and of

those cases, only a small portion will be heard by

the state’s court of last resort


Kenneth J. Peak



State CourtsUnified Court Systems

Historically, state court reform has centered on

implementing court unification.

since the 1900s, organization of US courts has

been a primary concern of reformers who believe

the multiplicity of courts is inefficient

A unified court system would shift judicial control

to centralized management.

the loose network of independent judges & courts

would be replaced by a hierarchy with authority

concentrated in the state capital


Kenneth J. Peak



State CourtsUnified Court Systems - Perceived Benefits

Simplified court structure - variations among

counties would be eliminated.

Centralized administration - the state supreme

court working with state/county court administrators.

Centralized rule making - the state supreme court

should have the power to adopt uniform rules that

would be followed by all courts in the state.

Centralized budgeting - a single budget would be

prepared for the state judiciary & sent to legislature.


Kenneth J. Peak



Figure 7.4 Illinois and New York

court structures. Source: Bureau

of Justice Statistics, State Court

Organization, October 2007, p.5

Two systems—one unified on a statewide basis &

one not—demonstrate unification in action.

the states of Illinois and New York


Kenneth J. Peak



Trial CourtsGeneral Jurisdiction: Major Trial Courts

There are an estimated 2,000 major trial courts in

the 50 states and DC, staffed by over 11,000 judges.

General jurisdiction means these courts have the

legal authority to decide all matters not specifically

delegated to lower courts.

common names are district, circuit & superior courts

The great majority of the nation’s judicial business

occurs at the state, not the federal, level.

As most criminal cases do not go to trial, the

dominant issue in courts of general jurisdiction is

what penalty to apply to the guilty.


Kenneth J. Peak



Figure 7.5 Organizational

structure of a district court

serving a population of

300,000 (MIS = Management

Information Systems).

Trial CourtsGeneral Jurisdiction: Major Trial Courts

Note the variety of functions and programs that exist

in addition to the basic court role of hearing trials

and rendering dispositions.


Kenneth J. Peak



Trial CourtsLimited Jurisdiction: Lower Courts

At the lowest level trial courts of limited jurisdiction,

also known as inferior courts or lower courts, which

decide a restricted range of cases.

district, justice, justice of the peace, city, magistrate,

or municipal courts

85 percent of all judicial bodies in the US

created/maintained by city/county governments

not part of the state judiciary.

The caseload can be divided into felony criminal

cases, nonfelony criminal cases, and civil cases.


Kenneth J. Peak



The Influence of Courts in Policymaking

The judicial branch has the responsibility to

determine legislative intent of the law and provide

public forums—the courts—for resolving disputes.

Determining what the law says and providing a

public forum involve the courts in policymaking.

Policymaking can be defined as choosing among

alternative choices of action, particularly in the

allocation of limited resources “where the chosen

action affects the behavior and well-being of others

who are subject to the policymaker’s authority.”

The policy decisions of the courts affect virtually

all of us in our daily lives.


Kenneth J. Peak



The Influence of Courts in Policymaking

Because many of the Constitution’s limitations on

government are couched in vague language, the

judicial branch must eventually deal with potentially

volatile social issues.

It may appear that the courts are too broad in their

review of issues.

it should be remembered judges “cannot impose their

views… until someone brings a case to court”

Decisions of the courts can be overturned by

legislative action.

the judicial branch depends on a perception of

legitimacy surrounding its decisions

Court Personnel Roles and Functions

Four things belong to a Judge:

To hear courteously, To answer wisely,

To consider soberly, and To decide impartially.

—SOCRATES

CHAPTER EIGHT


Kenneth J. Peak



LEARNING OBJECTIVES


be able to define and understand judicial

administration and court administration

understand the methods of judicial selection:

partisan elections, nonpartisan elections, merit

selection, and appointment

understand how civility is maintained in the

courtroom, the meaning of good judging, and a new

model code of conduct for state and local judges

know the benefits and problems encountered by

judges, including the problems faced by newly

appointed judges


Kenneth J. Peak



LEARNING OBJECTIVES


be familiar with the duties of judges who serve as

court managers

know the importance of court clerks

understand the six major duties of court

administrators

know the five strategies that judges follow in

determining the quality of administrators' work

understand the components of jury administration,

including special considerations during notorious

cases

(cont.)


Kenneth J. Peak



Defining Judicial Administration

The purpose of judicial independence is to mitigate

arbitrariness in judging. But what is the purpose of

judicial administration?

more difficult to define

Consequently, as Russell Wheeler noted, “many

court administrators today find themselves …not

knowing for certain what their purpose is.”

Most works Roscoe Pound as the founder of the

study of judicial administration because of his 1906

essay “The Causes of Popular Dissatisfaction with

Administration of Justice.”


Kenneth J. Peak




Just as much a founding document is a major essay

by Woodrow Wilson, entitled “The Study of

Administration.”

stressed administration as a noble calling, not one

for which every person was competent

Courts have not always regarded administration

as noble, but have always defended the distinction

Wilson drew between policy & administration.

Difficulty defining judicial administration became

obvious during the 1970s.

when it nevertheless became an attractive vocation


Kenneth J. Peak




One law professor who conducted a great deal of

research in the field believed in 1987 the safest

approach was “not… to attempt a definition” but

simply “to accept that it is a sub-branch of

administration—more precisely of public

administration.”

The term court administration might be conceived

loosely as specific activities of persons who are

organizationally responsible for manipulating various

judicial administration directions and influences.

this will become clearer as the the relationship

between judge and court administrator is discussed


Kenneth J. Peak



The JuristsMethods of Selection

Quality of justice Americans receive depends on

the quality of the judges who dispense it.

Many factors bear on the quality of judicial personnel.

salary, length of term, prestige, independence,

and personal satisfaction with the job

The most important factor considered by court

reformers is judicial selection.

A variety of methods are used to select judges:

partisan elections, nonpartisan elections, merit

selection, or appointment.

Figure 8.1 depicts patterns in methods of selection


Kenneth J. Peak



Figure 8.1 Initial selection of state judges (trial courts of general jurisdiction). Source: “Initial

Selection of State Judges (Trial Courts of General Jurisdiction)” from Judicial Selection in the

States: Appellate and General Jurisdiction Courts, January 2004, p. 4. Reprinted by permission of

the American Judicature Society.


Kenneth J. Peak




Three states use the executive appointment

method, whereby a vacancy is filled by the governor.

In some states, selection is by partisan elections.

In other states, judges are selected using

nonpartisan elections.

no party affiliations are listed on the ballot

Merit selection has been favored by court reformers

wanting to “remove the courts from politics!”

also known as the Missouri Bar Plan

34 states and DC use the merit system, & a

number of other states have considered it


Kenneth J. Peak




The question is often raised as to which method is

best for choosing judges.

Many experts—individuals and groups—strongly

believe that candidates for judgeships should not

have to run for election to that office.

Similarly, the American Judicature Society has

supported limiting the role of politics in the

selection of state judges.


Kenneth J. Peak



The JuristsJudicial Benefits and Problems

Judges enjoy several benefits of office, including

life terms for federal positions and in some states.

the bench can be the capstone of a legal career

Judges certainly warrant a high degree of respect

and prestige as well; from arrest to final disposition,

the accused face judges at every juncture.

Although judges run the court, if they deviate from

the consensus of the courtroom work group, they

may be sanctioned.


Kenneth J. Peak



The JuristsJudicial Benefits and Problems

Judges who are new to the bench commonly face

three general problems:

Mastering the breadth of law they must know & apply.

Administering the court and the docket while

supervising court staff.

Coping with the psychological discomfort that

accompanies the new position.


Kenneth J. Peak



Judges and Courtroom Civility

“Good Judging”

Judges should treat each case & all parties before

them with absolute impartiality and dignity while

providing leadership as steward of the organization.

Judges should remember that the robe does not

confer omniscience or omnipotence.

as one trial attorney put it, “Your name is now ‘Your

Honor,’ but you are still the same person you used

to be, warts and all.”

Judges must also enforce courtroom civility.

judges need to attempt to prevent vitriol and

discipline offenders when it occurs


Kenneth J. Peak



Judges and Courtroom Civility

Types of Judicial Misconduct

Sometimes medications affect a judge’s cognitive

process or temperament, causing him/her to treat

parties, witnesses, jurors, lawyers, and staff poorly.

some stay on the bench too long;

sometimes judicial arrogance is the problem.

Many judges will be reluctant to acknowledge that

they have problems such as those described above.

the chief judge may scold or correct a subordinate

It may be imperative to do so in trying to maintain

good relations with bar associations, individual

lawyers, and the public.


Kenneth J. Peak



Judges as Court Managers

In the states, judges assume three types of

administrative roles:

statewide jurisdiction for state supreme court chief

justices

local jurisdiction—a trial judge is responsible for

administering operations of his or her individual court

presiding or chief judge—supervising several courts

within a judicial district

A basic flaw in this system is the chief or presiding

judge is a “first among equals” with his or her peers.

often assigned by seniority; thus no guarantee exists

chief judge will be interested/effective in management


Kenneth J. Peak



Court ClerksKey Individuals

Not to be overlooked in the administration of the

courts is the court clerk.

prothonotary, registrar of deeds, circuit clerk,

registrar of probate, and even auditor

From the beginning of English settlement in North

America, court clerks were vital members of society.

“Clerks of writs” or “clerks of the assize” existed in

early Massachusetts, where people were litigious.

Hostility toward lawyers carried over from England.

the clerk was the intermediary between litigants

and the justice of the peace


Kenneth J. Peak



Court ClerksThe Forgotten Majority: Clerks in Rural Courts

Nearly four-fifths of US courts exist in rural counties.

A rural court is any trial court of general jurisdiction

having fewer than two full-time judges authorized

Urban courts pay high salaries to obtain specially

trained and educated administrators.

rural clerks often have less training & receive

lower salaries

Other duties of rural clerks include maintaining

records of land grants of town ancestors, as well

as records of births, deaths, marriages, and

divorces in the community.


Kenneth J. Peak



Trained Court AdministratorsDevelopment and Training

A recent and innovative approaches to solving the

courts’ management problems has been the creation

of the position of court administrator.

began to develop in earnest during the 1960s

The concept has its roots in early England, where,

historically, judges abstained from any involvement

in court administration.

By the 1980s every state had a statewide court

administrator, normally reporting to the state

supreme court or the chief justice of the state

supreme court.


Kenneth J. Peak



Trained Court AdministratorsDevelopment and Training

Three primary functions of state court administrators

are preparing annual reports summarizing caseload

data, preparing budgets, and troubleshooting.

few, if any, metropolitan areas are without full-time

court administrators

Court administrators are trained specifically to

provide the courts with the expertise and talent

they have historically lacked.

Management—like law—is a profession today.

if court administration is to be effective, judicial

recognition of managerial skill is necessary


Kenneth J. Peak



Trained Court Administrators

6 Major General Duties

Reports - preparation/submission of periodic reports

on activities and state of business of the court.

Personnel administration - serve as personnel

officers for the court’s nonjudicial personnel.

Research and evaluation - designed to improve

court business methods.

Equipment management - procurement, allocation,

inventory control, and replacement.

Preparation of the court budget.

Training coordination - Court administrators

provide training for nonjudicial personnel.


Kenneth J. Peak



How Judges Evaluate Administrators

The judge looks for indications of good

management.

The judge should be getting regular

information.

Judges should be watching carefully.

Judges must often ask others about the

performance of the administrator.


Kenneth J. Peak



Jury Administration

Elements of the jury system that involve court

administration include jury selection, sequestration,

comfort, and notorious cases.

The administrator is responsible for compilation of

a master jury list, from which a randomly selected

smaller venire (or jury pool) is drawn.

Many jurors experience great frustration in the

process, being made to wait long hours, generally

being inconvenienced.

Some trials involving extensive media coverage

require jury sequestration—jurors remain in virtual

quarantine, and are compelled to live in a hotel.


Kenneth J. Peak



Jury AdministrationNotorious Cases

The existence of notorious cases—those involving

celebrities or particularly egregious crimes—has

always caused problems in, courtrooms.

Court administrators & staff members must deal with

media; courtroom/courthouse logistics for crowds

and security; and management of the court’s docket.

A notorious trial may also require a larger courtroom

be used, & many attorneys accommodated.

A number of other issues must be considered.

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