Purposes and Responsibilities of Courts

1. Purposes and Responsibilitiesof Courts NACM Core Competency Fundamentals Date(s) Educational Program or Sponsor Faculty 2.5 Day Toolbox

2. THINK OF A PERSON

3. SOME BASICS “THE NEED FOR AN IMPARTIAL AND INDEPENDENT JUDICIARY IS ROOTED IN THE HUMAN CONDITION”

4. SOME BASICS SELF TEST FOUNDERS ASSUMPTION • “If men were angels, no government would be necessary.” (Federalist 10) INEVITABLE CONFLICTS • “Life is not or does not always seem fair” (page 1)

5. SOME BASICS STRUCTURE OF GOVERNMENT • “There is no liberty unless the power of judging be not separated from the legislative and executive power” (Montesquieu in Federalist 78) • “ A contriving…interior structure of government is…essential to the preservation of liberty” (Federalist 51)

6. Non-trial Trial THE REAL WORLD: JUSTICE IN DAY–TO–DAY JUDICIAL ADMINISTRATION

7. GROUP EXERCISE WHY IS IT IMPORTANT FOR COURT LEADERS TO KNOW THE PURPOSES AND RESPONSIBILITIES OF COURTS?

8. Leadership Visioning and Caseflow Strategic Management Planning Essential Information Components Technology Purposes Management and R responsibilities of Courts Education Court Training and Community Development Com munication Resources, Human Budget and Resources Finance Management What Court LeadersNeed to Know and Be Able to Do

9. REVIEW: WHY IT IS IMPORTANT FOR COURT LEADERS TO KNOW THE PURPOSES AND REPONSIBILITIES OF COURTS “ABSENT KNOWLEDGE OF THE JUDICIARY’S ENDURING PURPOSES AND CONTINUING RESPONSIBILITIES, COURT LEADERS, BOTH JUDICIAL AND MANGERIAL CAN LOSE THEIR WAY AS THEY AND THEIR COURT DRIFT BETWEEN UNRELATED ISSUES AND DEMANDS”

10. REVIEW (continued) • FOCUS ON MISSION AND VISION • HOW CAN WE HELP LEAD THE COURTS WITHOUT AGREED UPON PURPOSES? • HELP SORT PRIORITIES FOR THE COURT VERSUS THE LEGISLATIVE AND/OR EXECUTIVE BRANC

11. REVIEW (continued) • BUILD INTERNAL AND EXTERNAL ACCOUNTABILITY AND EVALUATION • BASIS FOR REMINDING AND EDUCATING THE OTHER BRANCHES INCLUDING JUSTICE ENTITIES AND THEIR STAFF ABOUT WHY COURTS EXIST AND OUR RESPONSIBILTIES • IMPORTANCE TO PUBLIC TRUST AND CONFIDENCE

12. KSA: “ABILITY TO ALIGN COURT PERFORMANCE, STRUCTURE, OPERATIONS AND PROCESSES WITH COURT PURPOSES”

13. DIFFERENCES BEWEEN THE PURPOSES OF COURTS AND THE PURPOSES OF COURT ADMINISTRATION “THE PURPOSES AND RESPONSIBILITIES OF COURTS SHOULD NEVER BE CONFUSED WITH EFFICIENCY OR EVEN THE CONSTITUTIONAL MEANS OF THE SEPARATION OF POWERS, JUDICIAL INDEPENDENCE AND THE INHERENT POWERS OF THE COURTS. COURTS EXIST TO DO JUSTICE, TO GUARANTEE LIBERTY, TO ENHANCE SOCIAL ORDER, TO RESOLVE DISPUTES, TO MAINTAIN RULE OF LAW, TO PROVIDE FOR EQUAL PROTECTION, AND TO ENSURE DUE PROCESS. THEY EXIST SO THAT THE EQUALITY OF INDIVIDUALS IS REALITY RATHER EMPTY RHETORIC.

14. Differences (continued) EFFICIENT AND EVEN EFFECTIVE JUDICIAL ADMINSTRATION IS NOT AN END IN ITSELF. COURTS DO NOT EXIST SO COURT LEADERS EITHER JUDICIAL OR CIVILIAN CAN MANAGE THEM. RATHER COURTS MUST BE MANAGED WELL SO THAT JUDGES AND OTHERS ACTING IN THEIR STEAD AND IN THEIR SHADOWS CAN DO JUSTICE.”

15. PURPOSES OF COURTSRE: ERNIE FRIESEN • INDIVIDUAL JUSTICE IN INDIVIDUAL CASES • APPEARANCE OF INDIVIDUAL JUSTICE IN INDIVIDUAL CASES • PROVISION OF A FORUM FOR THE RESOLUTION OF LEGAL DISPUTES • PROTECTION OF INDIVIDUALS AGAINST THE ARBITRARY USE OF GOVERNMENTAL POWER

16. PURPOSES OF COURTSRE: ERNIE FRIESEN • FORMAL RECORD OF LEGAL STATUS • DETERENT TO CRIMINAL (UNLAWFUL) BEHAVIOR • REHABILITATION OF PEOPLE CONVICTED OF CRIME • SEPARATION OF SOME CONVICTED PEOPLE FROM SOCIETY

17. ROSCOE POUND “DISSATISFACTION WITH THE ADMINSTRATION OF JUSTICE IS AS OLD AS LAW”

18. GROUP EXERCISE • THREE MOST IMPORTANT IDEAS • MOST CHALLENGING CONCEPT(S) FOR TODAYS COURT LEADERS

19. ROSCOE POUND “CAUSES OF POPULAR DISSATISFACTION WITH THE ADMINISTRATION OF JUSTICE”

20. POUND: “CAUSES OF POPULAR DISSATISFACTION WITH THE ADMINISTRATION OF JUSTICE”

21. ANY LEGAL SYSTEM • Mechanical Operation of Rules • Rate of Progress Law versus Morals • Administration of Justice Is An Easy Task • Popular Impatience with Restraint

22. ANGLO-AMERICAN SYSTEM • Individualistic Spirit of the Common Law in a Collectivist Age • Contentious Spirit of the Common Law – Litigation as a Game • Political Jealously Due to the Supremacy of Law • No General Rule or Philosophy • Defects of Form Inherent to the Case Law System

23. AMERICAN SYSTEM ORGANIZATION AND PROCEDURE • Multiplicity of Courts Characteristic of Archaic Law • Concurrent Jurisdiction Diversity Cases • Waste of Judicial Manpower • Rigid Districts • Points of Pure Practice • Unnecessary Retrials Trial De Novo

24. ENVIRONMENT OF AMERICAN JUDICIAL ADMINISTRATION • Jury Duty Is a Bore • Strained to Do the Work of Morals • Transition to a Period of Legislation • Placing of the Courts into Politics • Legal Profession as a Trade • Public Ignorance Due to Sensational Press Reports

25. TRIAL COURT PERFORMANCE STANDARDS Access to Justice • Public Proceedings • Safety, Accessibility, and Convenience • Effective Participation • Courtesy, Responsiveness, and Respect • Affordable Costs of Access

26. TRIAL COURT PERFORMANCE STANDARDS Expedition And Timeliness • Public Proceedings • Safety, Accessibility, and Convenience • Effective Participation • Courtesy, Responsiveness, and Respect • Affordable Costs of Access

27. TRIAL COURT PERFORMANCE STANDARDS Equality, Fairness, And Integrity • Fair and Reliable Judicial Process (Rule of Law and Due Process) • Juries • Court Decisions and Actions (Equal Protection) • Clarity • Responsibility for Enforcement • Production and Preservation of Records

28. TRIAL COURT PERFORMANCE STANDARDS Independence And Accountability • Independence and Comity • Accountability for Public Resources • Personnel Practices and Decisions • Public Education • Response to Change

29. TRIAL COURT PERFORMANCE STANDARDS Public Trust And Confidence • Accessibility • Expeditious, Fair, and Reliable Court Functions • Judicial Independence and Accountability

31. COURT LEADER ETHICS ABA CODE OF JUDICIAL CONDUCT NACM MODEL CODE OF ETHICS FOR COURT MANAGERS • DIFFERENCES JUDGES AND COURT LEADERS • PROBLEM AREAS • SUGGESTED CHANGES AND ADDITIONS • REPORT

32. RULE OF LAW, DUE PROCESS, AND EQUAL PROTECTION IN RE GAULT PROCEDURAL POSTURE OF THE CASE FACTS MAJORITY DECISION DISSENT

33. RELEVANCE OF THE PURPOSES AND RESPONSIBILITIES OF COURTS TO DAY-TO DAY JUDICIAL ADMINSTRATION • CASEFLOW MANAGEMENT • OTHER BRANCHES AND JUSTICE SYSTEM RELATIONSHIPS • EMPLOYEE ORIENTATION, TRAINING AND DEVELOPMENT • ON THE PHONE AND/OR THE WEB • AT THE COUNTER AND THE BAR OF THE COURT • SELF - REPRESENTED LITIGANTS • OTHER

34. PURPOSES AND RESPONSIBILITIES OF COURTS METAPHORS

35. PURPOSES AND RESPONSIBILITIES OF COURTS • CURRICULUM GUIDELINES: • REQUIRED KNOWLEDGE, SKILL AND ABILITY • WHY COURTS EXIST • COURTS AS INSTITUTIONS • RULE OF LAW, EQUAL PROTECTION AND DUE PROCESS • ACCOUNTABILITY • INTERDEPENDENCE AND LEADERSHIP

36. 1. WHY COURTS EXIST Courts and only courts can definitely resolve society’s inevitable conflicts. When they resolve disputes between individuals; individuals and the government, including those accused by the government of violating the law; individuals and corporations, and between organizations; both public and private they do so in ways that preserve the courts independence and impartiality, enduring purposes and continuing responsibilities. The courts mediate society’s interest in opposite but true mandates in particular the tension between social order and individual freedom.

38. COURTS AS INSTITUTIONS • Impartiality and independence demand courts that are separate from the executive and the legislature. But court purposes reflect a rich historical legacy that dictates both distinctive boundaries and interdependency. Competent court leaders understand separation of powers, judicial independence, and the inherent powers of the court. Alternative organizational arrangements to maintain the courts boundaries and to permit their effective management are likewise known. Direction provided by the Trial Court Performance Standards guide day to day court management.

40. RULE OF LAW, EQUAL PROTECTION AND DUE PROCESS • Effective courtleaders understand and help courts deliver on the promise of rule of law, equal protection, and due process. They know the theory, the history of the common law, important concepts such as venue, justiciability, and their practical implications. All types of cases, their processing, and typical forms and procedures are understood.

42. ACCOUNTABILITY • Courts must be accountable. Accountability provides the rationale for court control of the pace of litigation, the tracking of case disposition times, and adherence to law and judicial decisions in individual cases. The judiciary establishes and maintains its boundaries but it also assesses and reports on its performance, its use of public resources, and its conformance with its assigned responsibilities and the law.

44. INTERDEPENDENCE AND LEADERSHIP • The “contriving” American constitutional structure gives the judiciary’s relationship with its co-equal partners a distinctive flavor. Court leaders must be independent and cooperative. They must be above the fray even as they build and maintain boundaries and seek and achieve public trust and confidence. Court leaders have passion for justice and court purposes and responsibilities, and bring pride to everyday routines and jobs. They require ethical conduct and ensure that the court’s integrity is pure.

46. “Good is the enemy of great.” The first sentence of Good to Great by Jim Collins, Harper, 2001

47. THEY LIVE IT