Administrative Office of the United States Courts


The Administrative Office of the U.S. Courts is dedicated to providing essential administrative, legal, management, and program support and services of the highest quality to the federal courts. The work of all employees--statistics collection; program development, guidance, assessment, and training; legal research; personnel services and benefits administration; financial operations and audits; automated systems development--supports judges and court employees nationwide to ensure that the judicial machine runs smoothly. In a period of resource constraints, and as the activity of the federal courts continues to evolve and become more complex, the Administrative Office will continue to strive for administrative excellence through ingenuity, commitment, and innovation.

 

Mission

Established as the third branch of the U.S. government under Article III of the Constitution, the federal Judiciary is composed of federal courts throughout the United States, including the Supreme Court, U.S. courts of appeals, U.S. district courts, and U.S. bankruptcy courts. The federal probation system, pretrial services program, and federal defenders program are also nationwide elements of the federal Judiciary.

The judicial branch includes three Washington, D.C.-based organizations: the Federal Judicial Center, the Judiciary's research and training element; the U.S. Sentencing Commission, which establishes criminal sentencing policies; and the largest--the Administrative Office of the U.S. Courts, the administrative arm of the federal Judiciary.

The Administrative Office was is devoted to serving the courts in fulfilling the federal judicial system's critical mission, which is providing justice to the citizens of this country. The agency provides service to the federal courts in three essential areas: administrative support, program management, and policy development. It is charged with implementing the policies of the Judicial Conference of the United States and supporting the network of Conference committees. And, it is the focal point for Judiciary communication, information, program leadership, and administrative reform.

Although this has been the agency's basic mission since it was created in 1939, changing judicial needs over the years have significantly altered its function and structure. In 1940, the Administrative Office staff consisted of some 70 employees providing basic administrative support to about 1,800 Judiciary employees. Today, over 900 employees provide a broad array of support services to the Judicial Conference and its committees, as well as to the 28,000 judiciary employees working in more than 800 locations.

The agency is a unique entity in government. Neither the executive branch nor the legislative branch has any one comparable organization that provides the broad range of services and functions that the Administrative Office does for the judicial branch. The agency's lawyers, public administrators, accountants, systems engineers, analysts, architects, statisticians, and other staff provide a broad array of professional services, as listed on the facing page, to meet the needs of judges and others working in federal courts nationwide.



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Administrative Office Services

These are only a few of the many ways the Administrative Office provides daily support to the courts and the Judicial Conference of the United States.



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Judicial Administration

The lifetime tenure and independence of federal judges is an institutional cornerstone of the federal Judiciary. Federal appellate and district judges, often referred to as Article III judges, are nominated by the President with the advice and consent of the U.S. Senate. They are appointed for life and may be removed from office only by impeachment.

Unlike the legislative and executive branches of government, the Judiciary does not change management after elections. This stability of leadership allows for a unique organizational structure and governing process, both of which are fundamentally different from those of other federal government entities. For example, the federal courts are not centrally managed from Washington, D.C. In fact, there is no straight line of hierarchical administrative reporting and directing authority in the Judiciary as there is in the executive branch.

The Judiciary's policy-making body is the Judicial Conference of the United States. The Chief Justice of the United States is the presiding officer of the Conference, which is composed of 26 additional members: the chief judge of each federal circuit and the Court of International Trade, and one district judge from each regional circuit.

The Judicial Conference does not have direct administrative authority over the individual courts, but it establishes policies for the federal Judiciary, identifies legislative requirements, recommends revisions to the federal rules of practice and procedure, and has certain broad administrative responsibilities such as approving the Judiciary's budget request to the Congress, the long-range plan for automation, and the design guide for courthouse facilities.

In each federal circuit a judicial council, composed of equal numbers of appellate judges and district judges with the circuit chief judge presiding, has authority and responsibilities pertaining to the administration of the courts within that circuit. Each court, however, has a great deal of independence in carrying out its operations. The chief judge in each court generally is designated on the basis of seniority, and courts operate through a collegial form of governance. Court administrators and all other court employees serve at the pleasure of the court.

The Director of the Administrative Office is appointed by the Chief Justice, serves as the administrative officer of the courts, and directs the activities of the agency under the supervision of the Judicial Conference. Given the independence and varying governing structures and practices of the federal courts, federal judicial administration is a challenging endeavor.



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Support to the Judicial Conference

The Judicial Conference of the United States convenes twice annually to consider policy matters. It operates through a committee structure with an Executive Committee that acts on behalf of the full Conference between sessions, meeting in person or by teleconference throughout the year.

Judicial Conference committees are established by the Chief Justice to consider matters of importance in the various functional and program areas of the Judiciary's business. The individual committees usually meet twice each year, before each Conference session, to examine specific issues and make recommendations to the Conference. All committee chairs and members are appointed by the Chief Justice.

One of the primary responsibilities of the Administrative Office is providing support to the Judicial Conference and its committees. The Director of the Administrative Office serves as Secretary to the Conference, and the agency maintains its official records. As Secretary, the Director gathers and reviews expressions of interest, recommendations, and referrals of candidates for the Chief Justice's consideration in making appointments to Conference committees. Committee appointments are generally for three years, subject to reappointment.

Senior members of the Administrative Office staff serve as counsel to the Judicial Conference committees (including advisory and special committees) and their various subcommittees. Committee staff dedicate a substantial part of their time to the work of the Judicial Conference and its committees, and many of the agency's efforts and accomplishments relate to Conference activities.

Agency staff help plan meetings, prepare agendas, and produce reports. They also provide substantive analysis of issues, seek advice and opinions from advisory groups of court officials, and make recommendations for consideration by committees, and, ultimately, the Judicial Conference and possibly the Congress.

The agency takes steps to see that Judicial Conference policies are implemented, often through the issuance of new guidelines or procedures.



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Service to the Courts

The United States is divided into 12 regional circuits and 94 judicial districts. Each circuit includes a court of appeals and usually several district courts--the federal trial courts. Many of the 94 districts that cover large populations or geographic areas are organized in divisions with court facilities in several locations. More than 1,000 active and senior Article III judges handle the cases filed in the appellate and district courts.

Bankruptcy courts are separate components of district courts. Over 300 bankruptcy judges handle the nation's large bankruptcy caseload. They are selected by a majority of the active judges of the court of appeals encompassing their judicial districts and are appointed for terms of 14 years.

Although their jurisdiction and terms of office are more limited than those of Article III judges, close to 400 magistrate judges also have an important role in carrying out the district courts' judicial functions. Magistrate judges serve as adjuncts to the district courts, exercising the authority of a court as delegated by the district judges. They are selected by a majority of a court's active judges. Part-time magistrate judges are appointed for terms of four years, and full-time magistrate judges are appointed for eight years.

Keeping judges informed on important matters and providing support is a top priority for the Administrative Office. The agency holds orientation, training, and support programs for judges and their staffs. The development of chambers automation applications for legal research and case management, personnel services, and general ombudsman support for Article III judges, magistrate judges, and bankruptcy judges are primary responsibilities. The Administrative Office also provides management support on courthouse space and facilities, and advises court officials on courthouse design and construction.

While judges and their chambers staff are the heart of the Judiciary, the federal courts could not function without other court units that support the process and legal machinery of justice. Court administrators, including circuit executives, district court executives, clerks of court, librarians, interpreters, staff attorneys, bankruptcy administrators, and other court employees perform vital roles in court operations. Administrative Office staff members allocate resources and provide guidance, evaluation, and support for these functions and court executives in a wide range of administrative and program areas such as case management, jury administration, records management, facilities, procurement, financial management, human-resources administration, and automated systems.

Probation and pretrial services programs are another significant part of the federal court system. These programs and the thousands of employees who work in probation and pretrial services offices nationwide play a critical role in the criminal justice system.

Probation and pretrial services officers conduct investigations, provide background information regarding accused or convicted offenders, and prepare pretrial and sentencing reports to help judges make sentencing and release decisions. (These reports contain such information as family background, employment history, prior drug or alcohol abuse, and prior criminal record.) Officers also provide individual supervision and monitor conditions of release imposed by either the court or the U.S. Parole Commission, including drug and alcohol testing and treatment, mental-health treatment, electronic monitoring, and home confinement or other alternatives to incarceration.

The Administrative Office provides the national coordination of the probation and pretrial services system. The agency allocates resources, performs program oversight, and provides a full range of policy guidance, management assistance, administrative support, automation development, training, and program evaluation services to probation and pretrial services offices. The agency serves as liaison with the Bureau of Prisons, U.S. Parole Commission, and U.S. Sentencing Commission.

The federal Judiciary also oversees the defender services program, which was established by the Criminal Justice Act of 1964. The defender services program provides for the appointment and compensation of legal counsel, including payment of necessary investigative, expert or other defense-related services, for any defendant financially unable to obtain adequate representation in a federal criminal proceeding.

The Administrative Office guides and supports the growing federal public defender program, which includes more than 40 federal public defender organizations and nearly 30 community defender organizations, 19 of which are death-penalty resource centers. The agency is evaluating the feasibility of establishing defender organizations in all judicial districts. The Administrative Office also oversees the expenditure of funds appropriated by Congress for the program; administers the federal defender and appointed counsel program; and provides policy, legal, management, and fiscal advice to judicial officers and employees, private attorneys, and federal defenders and their staffs.

To ensure effective communications between the Administrative Office and the courts in assessing requirements and developing new policies, programs, or guidelines, the agency's various program divisions work with broadly representative advisory groups and automation user groups of court officials. This advisory structure encourages the free exchange of information and ideas, and ensures that items of importance are addressed.



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Three Branch Coordination

There is a vital relationship between the Judiciary and Congress. Congress can initiate and pass legislation that has significant implications for the structure, operations, and jurisdiction of the federal courts. Also, Congress appropriates the dollars to fund the Judiciary.

The Constitution gives Congress the power to create federal courts, other than the Supreme Court, and to determine their jurisdiction. Recent years have seen a great deal of legislative activity in criminal law, bankruptcy, and other substantive matters. The debate over which cases may be heard in federal courts revolves around the identification and delineation of the respective spheres of federal and state law. Although most of the work of the federal courts involves matters of civil justice, the federal courts also handle a substantial number of criminal cases. While most crimes concern matters that the Constitution leaves to the states, over the years Congress and the public have looked increasingly to the federal courts to solve social problems. Congress continues to add new sections to the federal criminal code.

Also, legislation, such as the Speedy Trial Act of 1974, the Sentencing Reform Act of 1984, and the Civil Justice Reform Act of 1990, has steadily added new responsibilities to the courts. Key issues and legislation that can have an impact on the Judiciary arise in every session of Congress. Judicial Conference committee chairs often testify before Congress on matters of interest to the Judiciary.

The Administrative Office responds in a variety of ways. On behalf of the Judicial Conference, the agency transmits draft bills to Congress and arranges for members of Judicial Conference committees and other judges to testify as expert witnesses at congressional hearings. As legislation that impacts the courts is drafted by the House and Senate, the Administrative Office communicates the concerns, interests, and positions of the Judicial Conference and suggests changes or compromises.

The agency also responds to congressional requests for briefings, statistics, background information, legal analysis, judicial impact statements, and other studies. Judicial impact statements assess the impact legislative and executive branch proposals can have on the Judiciary's operations and resources.

The Congress also provides funding for the Judiciary. The Judiciary is small: It represents less than two-tenths of one percent of the federal budget. And in terms of staff, the judicial branch, with 28,000 employees, is tiny compared to the executive branch. It is also smaller than the legislative branch. Nevertheless, the Judiciary undergoes congressional scrutiny of its budget submission, as it is the responsibility of Congress to determine how federal funds will be appropriated. The Administrative Office plays a pivotal role in coordinating the presentation of the Judiciary's funding needs to the Congress.

Administrative Office staff members communicate daily with congressional members and staff as part of the ongoing effort to inform members of Congress of the concerns and needs of the Judiciary.

The Judiciary's relationship with the executive branch is also important to the operation of Judiciary programs. For example, the General Services Administration provides courthouse facilities. Also, many areas require coordination at the national and local levels with the Department of Justice, and particularly with its U.S. Marshals Service, Bureau of Prisons, and U.S. Attorneys. Administrative Office officials regularly work with these agencies.



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The Judiciary's Budget

One of the key functions of the Judicial Conference and of the Administrative Office relates to the Judiciary's budget. The Judicial Conference and its Executive Committee, Budget Committee, and program committees with specific financial responsibilities all have roles in developing budget-formulation and budget-execution policy for the federal Judiciary. The Administrative Office, working closely with the courts, develops budget estimates for consideration by the Judicial Conference and its committees. Once the Conference approves the budget request for the Judiciary, the Administrative Office prepares the necessary support materials for Congress and carries out routine liaison with the appropriations committee's staff.

In developing the budget request, a variety of statistical and analytical techniques are used, including caseload forecasts and sophisticated work-measurement formulas, in conjunction with year-round program analysis and review of actual expenditures. The entire budget-formulation process takes about 18 months from the time estimates are developed until the appropriations bill for the Judiciary is enacted.

Once an appropriation is enacted by Congress, the Executive Committee approves a spending plan for the federal Judiciary. The Administrative Office implements the plan by allocating money to program management divisions, which allot funds to the courts. Under budget decentralization, each court unit controls its own budget and can shift resources among activities to meet its needs. The agency provides technical assistance and guidance in the obligation and disbursement of appropriated funds in accordance with existing statutes and Judicial Conference guidelines, and maintains the Judiciary's official financial systems and accounting records.



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Organization and Goals

The Administrative Office is organized functionally and by court program areas to carry out its many activities. Because it is a service organization, the agency's resources and functions are often shifted to respond effectively to the changing requirements of the Judiciary.

Each employee of the agency knows that he or she is there to support the judges, the courts, and the Judiciary's mission. To meet the agency's obligations to the courts, the Director established five fundamental goals that embody the values and direction of the Administrative Office:

In addition, the Director establishes specific management priorities and goals each year. Each division and office within the Administrative Office develops and implements specific objectives in support of these goals. Quarterly status reports are given, and periodic meetings are held to evaluate progress. This system helps the Administrative Office focus its limited resources on its most important priorities.

Over the last several years, Administrative Office program managers have addressed some of the most pressing needs the courts have for automation leadership, space and facilities planning support, administrative improvements, program guidance, long-range planning, and broad-ranged troubleshooting support for judges and other court officials. The agency has improved its internal management systems and reorganized the staff to operate more effectively and efficiently to meet the ever-changing demands of the federal Judiciary.

The Director also began a campaign to decentralize, delegate, and divest to the courts themselves the exercise of dozens of specific administrative responsibilities. The ensuing progress in achieving decentralized decision-making has been remarkably effective, and a result of these efforts is demonstrably improved service levels. Rather than making decisions in Washington about what a court needs, those decisions are better made by the courts themselves, with the Administrative Office providing needed guidance, assistance, and oversight.

In particular, budget decentralization has provided local court managers with more flexibility to apply resources and meet local needs more expeditiously. The decentralization of personnel management and classification authorities will be another major step in granting each court flexibility over the composition of its work force.

To complement the decentralization efforts, the Administrative Office works in partnership with the courts and has been training court personnel and improving its own systems for administrative oversight and control without unnecessary regulation. Administrative Office employees develop and publish manuals, pamphlets, and other information guides; provide advice and training; monitor programs; allocate resources; and communicate changing policies.



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Managing Change

As the courts have grown in size and the workload has become more complex, the responsibilities of judicial administration have increased significantly. Also, the structure and activities of the Judicial Conference and its committees have expanded in recent years. In support of these changes, the agency has been examining the demands likely to confront the federal courts in the future.

Many challenges confront the Administrative Office: helping the courts function with limited resources; working with Congress to obtain the resources and legislative changes the Judiciary needs; addressing the jurisdictional balance between the federal and state court systems; supporting judges and court staff in carrying out their responsibilities effectively; and re-engineering operations to meet workload demands and take advantage of the most efficient use of emerging technologies.

A primary initiative for the Administrative Office is to identify ways to reduce costs, improve service, and implement solutions that will enable the agency's staff to do the best job it can with scarce resources. The Judicial Conference Committee on the Administrative Office recognizes the agency's efforts to provide the courts with the highest level of service, and has endorsed it as "one of the most enterprising and efficient agencies in the federal government."