Long Range Plan for the Federal Courts

As Approved by the Judicial Conference

Judicial Conference of the United States December 1995

December 15, 1995

TO ALL INTERESTED PARTIES:

I am pleased to present the Long Range Plan for the Federal Courts approved by the Judicial Conference of the United States. Although it is based in large part on the Proposed Long Range Plan submitted by the Committee on Long Range Planning in March 1995, this version of the Plan includes a number of substantive and technical revisions among its recommendations, implementation strategies, and supplemental text.

Judicial Conference approval of the Long Range Plan extends only to the 93 recommendations and 76 implementation strategies. All other text in the Plan, including commentary on the approved items, serves to explain the drafters' reasoning and provide background information but does not necessarily reflect the views of the Judicial Conference.

As the federal judiciary faces the challenges of the next century, the Long Range Plan will provide an integrated vision and valuable framework for policy making and administrative decisions by the Conference, its committees, and other judicial branch authorities. While continuing to reflect our shared, enduring values, the specific goals and objectives set forth in the Plan can be expected to evolve as necessary to meet the needs of a changing world.

Any questions about the Long Range Plan can be directed to the Long Range Planning Office, Administrative Office of the United States Courts, at (202) 273-1810.

L. Ralph Mecham

Table of Contents

Foreword ...... vii

Chapter 1. Introduction ...... 1 Why Plan? ...... 1 History of Federal Courts Planning and the Genesis of the Current Plan ...... 2 Chapter 2. Conserving Core Values, Yet Preserving Flexibility ...... 5 The Vision...... 5 Mission...... 6 Core Values...... 7 The Federal Courts Today...... 9 Conserving Core Values...... 13 Has the Crisis Arrived? ...... 14 Chapter 3. An Alternative Future for the Federal Courts?...... 17 A Possible Scenario for the Future...... 18 Another Possible Scenario for the Future...... 19 Chapter 4. Judicial Federalism ...... 21 Defining and Maintaining a Limited Federal Jurisdiction...... 23 Criminal Proceedings ...... 24 Civil Proceedings ...... 28 Confronting the Effects of Allocating Jurisdiction...... 37 Impact of Legislation...... 37 Growth of the Article III Judiciary ...... 38 Chapter 5. Structure...... 41 Organization of the Appellate Function ...... 42 Courts of Appeals...... 43 Circuit Size and Workload ...... 44 Resolution of Intercircuit Conflicts ...... 46 Review of Administrative Proceedings ...... 46 Appeals in Bankruptcy Cases...... 47 Appeals of Magistrate Judge Decisions...... 49 Organization of the Trial Function ...... 49 District Courts ...... 50 District Alignment...... 50 Bankruptcy Courts...... 52

Chapter 6. Adjudication...... 57 Rules of Practice and Procedure...... 58 Sentencing in Criminal Cases...... 59 The Jury System...... 62 Pro Se Litigation...... 63 Costs of Litigation...... 66 The Need for Case Management ...... 66 Case Management in the Courts of Appeals...... 67 Case Management in the District Courts...... 70 Chapter 7. Governance: Management and Accountability ...... 73 Distribution of Authority...... 75 Effective Organization and Operation...... 76 Participation ...... 83 Administrative Autonomy...... 85 Accountability ...... 88 Chapter 8. Resources ...... 93 Obtaining Adequate Resources ...... 93 Ensuring Lifetime Service on the Bench...... 96 Making Most Effective Use of Judicial Resources...... 98 Diminishing the Problem of Judicial Vacancies...... 102 Managing Judicial Branch Resources...... 105 Budget Decentralization ...... 105 Technology and Facilities...... 106 The Federal Courts' Workforce of the Future ...... 108

Chapter 9. The Federal Courts and Society...... 111 Equal Justice...... 112 Keeping Federal Courts Affordable ...... 116 Representation of Criminal Defendants ...... 118 Ensuring Justice for Those Who Cannot Afford Counsel in Civil Cases ...... 121 Customer Service Orientation ...... 122 Communications with Other Branches of Government and the Public...... 125 Communications with the Bar...... 128

Chapter 10. Confronting the Alternative Future...... 129 Threshold for Considering Changes...... 130 Restructuring Appellate Review...... 131 Limiting the Right to Appeal...... 132 Making Best Use of Trial Court Resources...... 133 Diverting the Civil Caseload ...... 134 Limiting Jurisdiction ...... 134 Maintaining Effective Governance...... 135 Appointing Article III Judges...... 137

Conclusion...... 140 Chapter 11. Implementation and Future Planning ...... 141 The Plan as a Guide...... 141 Coordinated Planning...... 142 Implementing this Plan...... 143 Continuing Nature of Planning...... 144 Future Editions of the Plan...... 144 Appendix A. Current Trends and Projections...... 145

Appendix B. History of the Judicial Conferences Long Range Planning Process...... 165

Appendix C. Profile of the Long Range Planning Committee: Members, Staff, Consultants, and Contributors...... 175

Appendix D. The Judicial Conference of the United States and Its Committees, September 1995 ...... 187

Index ...... 201

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State Courts UNITED STATES COURTS OF APPEALS UNITED STATES COURT OF APPEALS (12 geographic circuits) Federal questions FOR THE FEDERAL CIRCUIT United States arising in cases Court of decided in the Appeals for the highest courts of Armed the 50 states, the Supreme Court of Forces Puerto Rico, and the District of BANKRUPTCY UNITED STATES UNITED STATES NITED TATES ISTRICT OURTS Columbia Court of APPELLATE U S D C COURT OF COURT OF United States Appeals (and territorial District Courts) Court of ANELS NTERNATIONAL EDERAL P I F Veterans (in circuits where TRADE CLAIMS Appeals established)

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Chapter 7 Governance: Management and Accountability

UDICIAL governance involves the development and implementation of Key functions of judicial branch governance include: administrative policies that support the federal courts' adjudicatory activities. Al- budget formulation and execution Jthough deciding cases is the independent act assignment of caseloads of one or more judges in a particular court, the management of judicial resources and resource allocation and administration formulation of administrative policy is es- personnel management sentially a cooperative process. Through that process the third branch preserves its procedural rulemaking own necessary autonomy, while at the same financial and property controls time reaffirming its fiscal and administrative enforcement of ethical and legal standards accountability to Congress and the taxpay- ers. program management data collection and dissemination The nature and mission of the federal courts require an approach to internal interbranch, intergovernmental and public governance rather different than that of ex- relations ecutive branch agencies and other more strategic planning hierarchical institutions. Unlike other forms, judicial governance is derived from, research and education and must adhere to, the following principles:

Separation of powers. Under Articles I and should allow those in whom the Constitution III of the Constitution, Congress is author- vests judicial power to govern the courts ized to structure the federal courts, define autonomously. their jurisdiction, and determine what resources will be allocated for their use. Judicial independence and accountability. Although those prerogatives necessarily The federal courts are charged with the ad- require some congressional policy making ministration of justice under law. To do so and oversight in judicial administration, the effectively, they must be free from political courts are a co-equal branch of government. pressure by other governmental entities, It is essential that Congress consult with the and from the heated public and political courts in the exercise of its constitutional sentiments of the day. This adjudicatory responsibilities vis-a-vis the third branch. independence requires a substantial degree And, to the extent practicable, Congress

The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 73 þ LONG RANGE PLAN FOR THE FEDERAL COURTS of administrative independence. At the conferences, committees attached to both, same time, the courts are accountable to the and governance mechanisms in the circuit, public for the efficient administration of district, and bankruptcy courts. With sub- justice. Through internal coordination and stantial numbers of judges involved in this review, the organs of judicial governance process there are opportunities, perhaps oth- promote the responsible use of tax dollars erwise unavailable, for exchanging ideas and and equitable, appropriate treatment of liti- perspectives on legal as well as administra- gants, witnesses, jurors, and the public. tive issues from different parts of the Although tension may exist between the country. twin goals of judicial independence and efficient management, the latter, if pursued Functional, not proportional representation. with careful deference to constitutional Judicial governance bodies represent the in- principles, can also enhance the courts' ef- terests of all judges. Membership in those fectiveness as an independent branch within bodies is based on the need to bring together the federal government. institutional experience and opinion found at all levels of the judiciary. While individual Decentralized authority. Under Article III members inevitably bring their own per- of the Constitution, judicial power is vested spectives (as a trial judge, appellate judge, directly in the respective courts of appeals, etc.) to the task, they are not intended to district courts, and other courts whose serve as agents of specific courts, circuits, or judges serve during good behavior with categories of judges. For that reason, judges undiminished compensation. Because from a smaller circuit have the same number governance is ancillary to the adjudicative of votes in the Judicial Conference as judges function, primary responsibility for estab- from a large circuit, and circuit judges serve lishing and executing administrative policy on the Conference and councils without re- naturally resides with each court. gard to their proportionate numbers in the larger judicial population. Broad participation. The governance process of the federal courts is broadly Evolutionary development. Over time, participatory because autonomous judges the federal courts' governance institutions are the ultimate source of judicial branch have developed sufficient administrative authority. In such an environment, authority to meet effectively the evolving informed policy making requires full con- administrative needs of the1 courts in sideration of a wide range of opinions and a rapidly changing society. Although options. Accordingly, the courts rely for governance authority has tended to be con- national policy making on the 27-member centrated in fewer hands over time, the Judicial Conference, which is in turn advised degree of consolidation has, appropriately, by 25 committees with a rotating member- been modest. It has been directed largely at ship of nearly 300. More than one federal rationalizing administration in an expanding judge in six plays a role in national judicial governance through membership on: the 1 Judicial Conference or one of its commit- The Judicial Conference, which began as a purely advi- tees; the Board or an advisory committee of sory body in 1922, acquired administrative authority in 1939 when the Administrative Office was created to act the Federal Judicial Center; or an ad hoc under its supervision. It has more recently delegated to its advisory group for the Administrative Office Executive Committee the authority to act for, and steer, the of the United States Courts. Participation is Conference on a day to day basis. Likewise, the circuit judicial councils, created in 1939 solely to supervise district also high at the regional and local levels docket management, have acquired greater responsibility to through membership on circuit councils and oversee judicial administration at the regional level. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 74 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

judiciary, and at providing effective over- Judicial Conference of the United States. sight against abuse and inefficiency. The Appropriated funds should not be ob- concept of strong, centralized authority and tained directly by a circuit council or autocratic leadership is foreign to the courts, any other regional or local body. inconsistent with the deliberative, consensus-oriented decision making appropriate to 40b The agencies of judicial admini- a judicial institution, and contrary to current stration at the national level should management trends generally. Instead, the judiciary will continue to govern itself continue to decentralize administrative through the institutions that have served it responsibility wherever appropriate, well, but with an eye toward incremental while maintaining sufficient oversight to improvements in structure and process. ensure that courts are accountable for the proper use of the authority vested in The following recommendations are them. intended to provide the federal courts with the means to retain their unique character For most of their history, the federal and perform their constitutional mission, courts have been administratively autono- while at the same time meeting their legal, mousboth individually and collectively ethical, and societal responsibilities. subject only to the common administrative support provided, in turn, by the Treasury, Interior, and Justice Departments, and Distribution of Authority occasional management oversight by the Supreme Court justices assigned to the ^ RECOMMENDATION 40: In the interests respective circuits. In 1922, however, Con- gress established the Conference of Senior of administrative efficiency, account- Circuit Judges (the forerunner of the present able resource utilization, and effective Judicial Conference of the United States), external relations, the present distri- primarily as an advisory and coordinating bution of governance authority among body. In 1939, Congress transferred na- the national, regional (circuit), and tional administrative responsibility for the individual court levels should be pre- courts from the executive branch to a newly served. Governance structures and created Administrative Office of the United mechanisms should continue to strike States Courts, which functions under the Conference's supervision. At the same time, a careful balance among individual Congress created a Judicial Council in each judge autonomy, local court initiative circuit, initially to monitor the district and control, and coordination of ef- courts' dockets. fort. These national and regional bodies Implementation Strategies: (and others added since) have evolved and grown to meet changing needs. The circuit 40a The judicial branch should obtain judicial councilsthrough their statutory funding for the operation of the courts power to oversee regional judicial admini- solely through appropriations adminis- strationand the Judicial Conference through its control of the judicial budget and tered by the Administrative Office of the supervision of the Administrative Office United States Courts and expended un- exercise significant authority to formulate der the direction and supervision of the and execute policies for the entire judicial

branch. The individual courts, however, re- affected. This is consistent with the current main autonomous in important ways and management theoryarticulated in the

continue to have primary 2responsibility for 1993 report of the National Performance their own administration. Reviewthat "empowerment" of front-line

managers and employees results3 in more Most members of the judiciary be- efficient, less costly operations. Put differ- lieve that this allocation of authority has ently, decentralization provides the tools served the federal courts well and should needed for appellate, district, and bank- be retained as a general matter. There is, ruptcy courts to administer themselves. however, less consensus on the appropriate structure for circuit-level administration With increased authority, however, and its relationship to individual districts. should come increased accountability. For that reason, judicial policy makers Through their respective functions and ac- should continue to study regional and indi- tivities, the Judicial Conference and the vidual court governance with a view toward national judicial support agencies should improving the balance of power and re- encourage court personnel to manage decen- sponsibility between those levels (see tralized resources wisely, always with the Recommendation 47 and Chapter 11 infra). aim of better serving the public. Broad participation and consensus at each level, as well as deference by national and The Administrative Office should regional policy makers to localized initiative continue to delegate to individual courts ap- and control, are essential in a judicial sys- propriate programmatic responsibility in the tem that constitutionally must honor the areas of budget execution and personnel independence of individual jurists. classification and management, consistent with the broader interests of the judicial By the same token, national or re- branch and the responsibilities that Congress gional coordination or direction is necessary imposes on the Administrative Office by to ensure efficiency and economies of scale, statute or through the appropriations proc- accountability in the discharge of the public ess. Likewise, the Federal Judicial Center trust, and effective relations with the other should continue to encourage and, through branches of government, the bar, and the technical and financial support, assist indi- general public. Budgetary policy is a key vidual courts in making local education area in which national coordination is neces- programs a key element of personnel man- sary to ensure that resources are adequately agement and organizational development. obtained and properly allocated: appropriations should not be obtained directly from Congress by a circuit council or any other Effective Organization and Operation regional or local judicial authority. The success of the existing govern- As a general rule, authority to make ance institutions is attributable in significant policy and spending choices should reside part to Congress's appropriate willingness to with those whose interests are most directly entrust to the courts responsibility for most operational details. This has allowed the 2 Indeed, even though circuit councils may issue organization and methods of judicial ad- "necessary and appropriate orders for the effective and expeditious administration of justice within [the] circuit," 3 28 U.S.C. § 332(d)(1) (1988), that power is used only See CREATING A GOVERNMENT THAT WORKS BETTER & sparingly to remedy exceptional problems arising at the COSTS LESSREPORT OF THE NATIONAL PERFORMANCE district court level. REVIEW 69-72 (1993). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 76 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

ministration to evolve and adapt to meet the Existing institutions can be structured, as changing needs of the federal courts. For needed, to ensure prompt, effective decision that reason, the governance system should making. Creation of a permanent statutory maintain its current flexible distribution of office with a new and fixed mandate would authority and responsibility, making only only reduce the system's flexibility and un- slight adjustments in the role and organiza- dermine regional and local administrative tion of various institutions to ensure autonomy. adequate capacity for well-informed, coordinated, and timely action. ^ RECOMMENDATION 42: Consistent ^ with the authority conferred by Con- RECOMMENDATION 41: The Chief gress, the Judicial Conference of the Justice of the United States should United States should continue to de- remain the head of the federal judicial velop policy and exercise oversight system, retaining the traditional with respect to matters of judicial authority and responsibility of that branch administration in which a uni- office in matters of judicial admini- fied national approach is necessary stration. and appropriate. The Conference should continue to focus attention on By statute and custom, the Chief broad-scale policies and critical issues. Justice, in consultation with the Judicial Conference and others, structures federal The Judicial Conference of the judicial administration at the national level United States consists of the Chief Justice, according to his or her management prefer- the chief judge of each circuit, a district ences. To create effective administrative and judge representative from each circuit, working relationships, the Chief Justice can and the chief judge of the Court of Interna- allocate responsibility (other than statutorily tional Trade. Its structure and function prescribed functions) among the Director of complement the unique nature of the judi- the Administrative Office, the Director of cial branch. The primary role of judicial the Federal Judicial Center, the Administra- governance is to ensure that judges receive tive Assistant to the Chief Justice, and the the support they need to perform their chair of the Judicial Conference Executive 4 constitutional duties. A large, broadly rep- Committee. This approach assures needed resentative Conference, supported by an flexibility in judicial governance arrange- effective committee structure and adminis- ments while preserving the Chief Justice's trative staff, is the best suited to preserving permanent role as head of the judicial broad-based judicial control and involve- branch. ment in carrying out that role. The current system is adaptable, and It should be kept in mind, of course, it works well. It is unnecessary to establish that the Judicial Conference meets only an additional high-level management posi- twice a year. No body with that schedule tionsuch as a "chancellor," "associate can or should be expected to provide day-to- justice for administration" or "executive day administrative oversight and control of a judge"to oversee judicial administration. complex organization. For that reason, the 4 See RUSSELL R. WHEELER & GORDON BERMANT, Conference will need to focus its attention FEDERAL COURT GOVERNANCE 49 (Federal Judicial Center on providing broad policy direction for ju- 1994). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 77 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

dicial branch administration and addressing Implementation Strategies: issues of strategic importance to the federal courts. 43a The Executive Committee should This does not mean that Conference be allowed a more active role in steering procedures and internal organization should the Conference and acting on its behalf. remain static. In 1986-87, the Chief Justice commissioned a Committee to Study the Because the size of the Judicial Con- Judicial Conference that reviewed the ference makes a more frequent meeting decision-making process and committee or- schedule impractical, a smaller body is ganization and recommended a series of needed to make timely decisions and man- significant modifications in how the Con- age relations with the Congress and the ference transacts its business. Among the executive branch in rapidly changing areas recommendations adopted by the Confer- of policy development. In recent years, the ence was a policy requiring internal review Executive Committee has assumed that of the Conference committee structure every role, becoming the arm of the Conference five years. primarily responsible for acting on the judiciarys behalf when time-sensitive issues It is important that these periodic arise between semiannual sessions. studies continue, and that they focus not only on committee operations but also on Given the increasing number and the manner in which the Conference itself range of administrative issues confronting makes decisions. In an age of increasingly the federal courts, it is appropriate that the complex and technical problems, it is Judicial Conference focus on fundamental or essential that Conference members have long-term policies and matters on which a sufficient, accurate informationfrom full airing of views is needed, leaving more committee reports and other sourcesto routine matters to the Executive Committee. evaluate policy alternatives and make well- Indeed, this reallocation of responsibility should be expanded so that the Conference informed decisions. Also, with increasing 5 judicial participation in Conference activity, can utilize its limited meeting time more ef- the effectiveness of the Conference as a de- fectively. For example, the Executive liberative body will be tested. Use of Committee could assume a more proactive executive sessions and greater limitations on role in determining both the content of the staff participation should be studied as pos- Conference agenda and the manner and or- sible means of preserving the Conference der in which it is considered. In addition, members' ability to debate issues in a rela- many of the ministerial and routine matters tively small, collegial forum. now placed on the "consent" calendar at Conference sessions could be formally delegated to the Executive Committee. ^ RECOMMENDATION 43: The leader- More broadly, the Conference might ship role of the Judicial Conference's wish to consider greater system-wide leader- Executive Committee should be en- ship for this body. For example, Executive hanced. Committee members could serve as policy advocates and emissaries who encourage courts to exercise decentralized budget and

5 personnel management authority to improve See Implementation Strategy 44b and Recommendations 45 and 50 infra. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 78 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

^ and enhance services to court users and RECOMMENDATION 44: The Judicial other aspects of judicial administration. Conference should continue to rely on a broad committee structure for policy With expanded authority, the Execu- tive Committee's ability to make prompt and development. It should strengthen the sound decisions will become even more es- committees' ability to provide sound sential. That ability will depend in large advice and needed information. part on the expertise of its members. The full Judicial Conferencefrom which the Implementation Strategies: Executive Committee ordinarily is drawn typically includes judges with wide ranging 44a Membership in Conference experience and expertise. However, there committees should continue to rotate pe- are policy areas in which special knowledge riodically, to provide new and diverse of current issues and problems may be criti- perspectives while at the same time pre- cal. Accordingly, the Executive Committee serving the insight, experience, and may find it helpful to continue the prac- legislative contacts that come with long- tice of including in its deliberations, where appropriate, the chairs of Conference com- term committee service. mittees responsible for the programs or activities under discussion. In setting policies on the tenure and composition of committee membership, the Conference should balance the need for 43b Consideration should be given to fresh perspectives against the value of at least partial reduction in the chair's continuity and experience. Before 1987, judicial workload, so as to offset the time committee members served indefinite terms, required for performance of administra- severely reducing the number of judges who tive duties. could become involved in national judicial administration. A key element of the re- An expansion of Executive Commit- forms adopted that year was establishment tee responsibility would naturally impose of a fixed three-year term for committee ap- greater time demands on its members, espe- pointments and an overall six-year limit on cially the chair. It is not clear, at present, service by an individual judge on any whether the judge chairing the Executive committee. Although exceptions to the lim- Committee in fact needs a special measure its have been made on rare occasions, these of docket relief. In time, however, the ad- norms have been credited with the much ministrative duties of that position may grow broader degree of judge participation in to the point where at least some6 relief from Conference work in recent years. judicial duties will be needed. The difficulty with any rule of this 6 Docket relief can be provided in more than one way. For kind is that it deprives the organization of example, inter- and intra-circuit assignments could be used valuable service and expertise at the same to bring visiting judges to the chair's home court so that time that it provides a needed infusion of the chair could devote a greater amount of time to Execu- tive Committee work. Alternatively, Congress could new and different ideas. Whether a par- authorize a temporary judgeship for the chair's home ticular limit on committee service is the court, either in all cases or whenever the Chief Justice cer- appropriate one depends, in large part, on tifies the need to relieve the chair of some or all judicial the context. If the work of a particular duties. A similar approach is already taken whenever a full-time judge assumes an "office of federal judicial administration"presently defined as the Director of the Center, or the Administrative Assistant to the Chief Justice. Administrative Office, the Director of the Federal Judicial See 28 U.S.C. § 133(b) (Supp. V 1993). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 79 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

committee exposes a member to a substan- erings should not, of course, become a pol- tial "learning curve" or involves lengthy icy-making forum in lieu of the Conference projects (the federal rules process is a good or any particular committee. example but by no means the only one), the appropriate balance between continuity and ^ renewal may be found in longer terms for RECOMMENDATION 45: The number its members or chairs, or in the occasional of judges participating in the Judicial waiver of the overall committee service Conference and its committees should limit. not increase in proportion to growth 44b The Conference should afford the in the judiciary overall. committee chairs a meaningful role in At present, 17 to 18 percent of all relevant Conference debates and an op- life-tenured and fixed-term judges serve on portunity to meet together at least once a the Judicial Conference and its committees. year. To maintain a decentralized, consensus- oriented process for administrative decision Because of the familiarity and ex- making, the judicial branch should preserve pertise they acquire with their committees' and, indeed, expand on this wide degree7 of subject areas, Conference committee chairs participation in governance structures. are a valuable resource that should be util- However, if the Article III judiciary were to ized more effectively. Although the chair of increase in size to 2,700 judges but keep a committee whose report is on the Confer- its current proportion of judges holding ence discussion agenda typically is invited governance appointments, the size of the to make an oral presentation at the Confer- Conference organization would increase ence session, there are other situations (e.g., from approximately 300 to around 475 not involving a proposal of that specific judges. Although a governance process with committee) when it would be helpful for that number of participants might still be Conference members to hear the views of a manageable, at some point the problems of committee chair on an issue generally within coordination and effective discussion will his or her committee's area of concern. outweigh the benefits of large-scale participation. It is not uncommon for issues to arise that cut across the jurisdictions of more ^ than one Conference committee. Proposals RECOMMENDATION 46: The Adminis- to authorize electronic or facsimile filing of trative Office of the United States court documentswhich fall within the respective bailiwicks of the committees Courts and the Federal Judicial Cen- responsible for court administration, rules of ter should retain their separate practice and procedure, and automationare institutional status and respective only a recent example. Staff-level coordi- missions. The officially adopted poli- nation can help considerably in avoiding cies of the Judicial Conference duplication of effort or misunderstanding represent the view of the judicial among the committees. But regular meet- branch on all matters and should be ings of the committee chairs also would be respected as such by the Administra- useful to promote information sharing on tive Office and the Federal Judicial common issues and an awareness of matters under consideration elsewhere. These gath- 7 See Recommendation 50 infra. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 80 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

Center when dealing with members of regional coordination. Although the basic Congress or the executive branch. governance structure is sound, the powers and composition of regional governance The functions of the Administrative bodies should be studied carefully to assess Office and the Federal Judicial Center are the degree to which refinements or more sufficiently distinct to merit the retention of extensive changes are appropriate (see two separate organizations. Although these Chapter 11 infra). agencies must work cooperatively and in a coordinated fashion, maintaining distinct but Implementation Strategies: mutually supportive agencies for administration and policy support and education 47a Circuit judicial councils should and research, respectively, will be important continue to provide administrative co- in years to come. When shortages occur in ordination and oversight to all courts funding and other resources, it will be nec- within the respective regional circuits. essary to ensure that research and education are not sacrificed for the sake of day-to-day The judicial circuits are an essential operational needs. component in the machinery of federal judicial administration. As the courts face a In carrying out their respective func- future of increasingly scarce resources, it tions, both of these agencies must operate will become more, not less, important to within the policy framework established by have a regional mechanismthe circuit ju- the Judicial Conference. As the Chief Jus- dicial councilin which collective needs tice explained in his year-end report for and interests of all courts (appellate and 1994, the Conference is the body estab- trial, large and small, urban and rural, over- lished to speak for the federal judiciary in worked and underworked) can be weighed its dealings with the other branches of the before resources are allocated. Because federal government. the appellate and trial courts face different problems and issues, proposals have been ^ made to eliminate circuit judge involvement RECOMMENDATION 47: The basic in regional oversight and coordination8 of organization and authority of govern- district court administration. On the other ance institutions at the regional and hand, some observers believe that their individual court levels should be re- participation affords judicial council delib- tained. erations a broad perspective and detachment that are very useful in confronting difficult issues. With that in mind, the role of circuit As noted under Recommendation 40, judges in judicial councils should be reas- there is general consensus in the judiciary on sessed as part of an overall examination of the need to maintain a three-tiered system of the circuit-district relationship (see Chapter judicial governance (national, regional, and 11 infra). individual court), with an emphasis on decentralized control. There is, however, far 47b The chief judges of the courts of less agreement among judges, and particu- appeals and district courts should con larly between circuit and district judges, as to the appropriate role of regional authority 8 See, e.g., Report of the Judicial Conference Committee vis-a-vis local courts, and the balance re- on Court Administration and Case Management to the Ju- quired between local court autonomy and dicial Conference Committee on Long Range Planning (Feb. 1993 & Jan. 1994). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 81 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

tinue to be selected on the basis of sen- trative as well as adjudicative functions.9 As iority subject to statutory limitations on discussed in greater detail in Chapter 8, age and tenure. an expanded, concerted effort by the federal courts to recruit, train, and retain the Currently, chief circuit and district services of highly qualified, competent ad- judges rise to those positions based on sen- ministrators will enhance the judges' ability iority in their courts, subject to statutory age to perform their constitutional functions. It and length of service limitations. The value will also foster the efficient, responsible use of this system lies in the certainty it pro- of judicial branch resources required in an vides, and in ensuring equal opportunity and era of tight budgets and close public scru- avoiding the divisiveness of an electoral tiny. process. Although many judges consider the seniority system flawed because it does not ^ ensure administrative ability, the alternative RECOMMENDATION 49: All judicial methods suggested to date (e.g., merit selec- governance institutions should con- tion or election by the court) also meet with tinue to develop and integrate long skepticism. Given that the current system range planning capabilities into their has generally worked well in practice, this policy-making processes. plan does not propose to abandon it. The better approach is to continue studying pos- In its 1990 report, the Federal Courts sible alternatives to the seniority model (see Study Committee recommended that the Chapter 11 infra), and to concentrate on Judicial Conference and the circuit judicial training and technical assistance to chief councils undertake or enhance their respec- judges so that they can effectively discharge tive capacities for long rangeas opposed their increasingly complex administrative to short-term or operationalplanning. In responsibilities. addition to this national plan, successful planning efforts are continuing by Judicial ^ RECOMMENDATION 48: Conference committees and have taken root To assist the at the circuit and district court levels. The governance process and enforce its judicial branch is well served by continuing decisions, the judicial branch should national planning efforts in, among other continue to develop and enhance the areas, the automation, judicial security, and capabilities of court administrators space and facilities programs. The long and managers. range planning process in the Ninth Circuit Court of Appeals is a landmark effort that The need for staff support of court has begun implementation. Successful operations has expanded to an even greater planning efforts have occurred, with training and technical assistance from the Adminis- degree than additional judge power require- 10 ments: judges now constitute less than 9 trative Office and the Federal Judicial percentas compared with nearly 25 per- Center, in several individual courts and judicial branch programs. As described more cent in 1970of the total judicial branch workforce. Accordingly, the key to success- 9 infra 10 See Recommendations 74 and 77 . ful administration of the federal courts lies In support of the Long Range Planning Committee's more than ever in strong, effective court charge to promote and encourage planning within the ju- managers (circuit executives, clerks of court, dicial branch, the Administrative Office of the United States Courts has published a Judicial Branch Planning etc.) and in adequate funding for adminis- Guide and a Planning Handbook for Federal Courts that have been used by local planning committees. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 82 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

fully in Chapter 11, a continuing planning District judges have participated in process is essentialnot only to establish the Judicial Conference since 1957, and in formal goals or objectives, but also to ensure circuit judicial councils since 1980. How- well-informed, coherent day-to-day decision ever, the rules governing their membership making. Planning should continue and be in these bodies continue to place them at a expanded at all levels as an integral part of disadvantage vis-a-vis circuit judges. For the governance process. example, an inequality between district and circuit judges can be found in the tenure of Conference members: although district Participation judge members have a statutory term of three years, the circuit judges are repre- Judicial governance should represent sented on the Conference by their chief all judges. It is essential that the different judges who may serve for up to seven years. perspectives and experiences of trial and appellate judges, and of life-tenured and fixed- Many district judges with experience term judges, be reflected in the decision in national leadership believe that the three- making process. Over the years, the mem- year terms disadvantage district judge membership of federal court governance bodies bers. Because in fact most chief circuit has become steadily broader and more in- judges serve between four and five years, a clusive. Nevertheless, there is room for im- five-year term for district judge members of provement. the Conference is appropriate, notwithstand- ing the fact that extending the term will reduce the number of district judges who can ^ RECOMMENDATION 50: There should serve on the Conference over time. A longer term would make the district judge member be broad, meaningful participation of a more effective participant in the decision judges in governance activities at all making processthus better reflecting the levels. district judge perspective and improving the overall quality of Conference deliberations. Implementation Strategies: Despite the fact that the work of cir- 50a District judges should be afforded cuit judicial councils, as a practical matter, is the opportunity to participate effectively focused primarily on trial-level administra- in national and regional governance. To tion, circuit judges continue to represent a that end majority on those bodies. In 1990, Congress amended the council statute to include "an (1) district judge members of the Judi- equal number of circuit judges and district judges of the circuit," but allowed the chief11 cial Conference should be afforded circuit judge to remain as presiding officer. a term of service comparable to the Although the governance relationship be- average tenure of chief circuit tween circuits and districts remains under judges (i.e., five years); and study (see Chapter 11 infra), circuit judges

should continue12 to participate in council (2) each circuit judicial council should business, but on an equal footing with the

have an equal number of district 11 judge and circuit judge members, See Federal Courts Study Committee Implementation Act of 1990, Pub. L. No. 101-650, § 323, 104 Stat. 5104, including the chief circuit judge. 512012 (codified at 28 U.S.C. § 332(a)(1) (Supp. V 1993)). See Implementation Strategy 47a supra. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 83 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

district judges. In other words, the chief cir- prives senior judges of a voice in making cuit judge should be counted among the policies that apply to them, it also deprives

"equal" number13 of circuit judge members on the governance process of views acquired the council. This is consistent with the through years of judicial service. To rectify above-mentioned principle of sound man- this problem, both law and practice should agementthat those closest to problems be amended to guarantee senior judges who

should have the authority and responsibility remain substantially active16 a role in national for developing solutions. and regional governance.

50b Senior judges should be afforded Unlike most governance mecha- a greater opportunity to participate in nisms discussed in this plan, many important governance. To that end mechanisms in individual courts (e.g., boards and committees) are not founded by (1) senior judges should be expressly statute or national rule, and thus are not authorized to serve on the Judicial amenable to national prescription. Never- Conference; theless, each court is encouraged to establish goals for broader senior judge participation that parallel those suggested here for na- (2) senior judges should be authorized tional and regional bodies. to serve on the Board of the Fed- eral Judicial Center; 50c Non-Article III judges should be afforded the opportunity for meaningful (3) senior judges should be authorized participation in governance. To that to serve on circuit judicial councils; end and (1) the Board of the Federal Judicial (4) individual courts should take ap- Center should include a magistrate propriate steps to include senior judge as well as a bankruptcy judges in local governance mecha- judge; and nisms.

14 As discussed further in Chapter 8, (2) individual district courts should senior circuit and district judges provide an take appropriate steps to involve invaluable resource to the federal courts. They should be treated with the respect and circuit judicial councils, 28 U.S.C. § 332(a)(3) (Supp. V consideration befitting their experience and 1993), and requiring active status for circuit and district dedication to the law and public service. judge members of the Federal Judicial Center's Board, 28 U.S.C. § 621(a)(2) (1988), should be amended to make Although they serve on Judicial Conference senior judges eligible to serve as circuit or district judge committees and, occasionally, on local court members of those bodies. Similarly, the statute that gov- committees, both statute and prevailing erns representation in the Judicial Conference, 28 U.S.C. § 331 (1988), should be amended to clarify that senior practice often exclude15 senior judges from district judges certified under 28 U.S.C. § 371(f) (see note governance activity. This not only de- 16 infra) may serve as district judge members of the Con- ference. (While senior judges are not expressly excluded 13 from Conference membership, the statutory language is This plan does not suggest any change in the role of the open16 to differing interpretations.) chief circuit judge as presiding officer of the judicial Those senior judges who continue to carry 25 percent of council.14 an active judge's workload, and are accordingly certified to infra 15 See Recommendations 59, 63, and 64 . receive salary increases payable to judges in regular active Thus, the legislation excluding all but "circuit and dis- service (28 U.S.C. § 371(b)(1), (f) (Supp. V 1993)), should trict judges in regular active service" from membership on be considered substantially active. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 84 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

bankruptcy judges and magistrate their more effective utilization (see Rec- judges in local governance. ommendation 65 infra) and add to their productivity. Greater bankruptcy judge par- Governance of the judicial branch is ticipation in governance will better integrate principally the responsibility of judges who the bankruptcy courts into the judiciary gen- enjoy life tenure and undiminished compen- erally. sation under Article III of the Constitution. There is, however, an appropriate role in the In recent years, fixed-term judges governance process for fixed-term judges of have become involved, to an increasing degree, in the governance process at the na- courts17 in the judicial branch of government. tional level (as members of most Judicial Conference committees18 and the Federal Ju- These judges perform many similar dicial Center Board ), the regional level duties to the Article III judges. They also (as regular observers in many circuit coun- have relevant, and sometimes unique, per- cils), and the local level (as participants in spectives that can inform and enrich the court meetings and members of court rules decision-making process. This is especially committees and other administrative or true at the local court level, where many planning bodies). These efforts should decisions affect all judges equally, and in the be continued and, where appropriate, ex- research and educational activities needed to panded. Although this plan does not seek aid and enhance the performance of judicial to specify when, and under what conditions, duties. Involvement of fixed-term judges fixed-term judges should participate in will enhance communication and problem- national, regional, or local governance ac- solving among all judges. With respect to tivity, it is important that their views be magistrate judges, it will likely lead to heard, and perspectives taken into account, whenever decisions are made on the many administrative, fiscal, and policy issues re- 17 The United States Court of Federal Claims presents an lating to their work. anomaly. Unlike bankruptcy judges and magistrate judges, the fixed-term judges of that court serve on a tribunal established under Article I, not Article III, of the Consti- tution. 28 U.S.C. § 171(a) (1988 & Supp. V 1993). Al- Administrative Autonomy though the Court of Federal Claims is lodged within the judicial branch for administrative purposes, see id. ^ §§ 176, 178, 460, 604, 610, that arrangement derives RECOMMENDATION 51: Adminis- largely from the fact that an Article III body, the former United States Court of Claims, previously had exercised tration of federal court facilities, much of the present Article I courts jurisdiction. See, e.g., 28 U.S.C. §§ 792, 2503 (1976 & Supp. V 1981). In a real programs, or operations should be sense, however, the judges of the present court are the legal primarily the responsibility of the successors of the fixed-term trial judges of that court, not the judges whose tenure and compensation were protected judicial branch. under Article III (and whose legal successors are judges of the Court of Appeals for the Federal Circuit). See Federal Courts Improvement Act of 1982, Pub. L. No. 97-164, §§ 165, 167(a), 96 Stat. 25, 50. The other Article I courtsthe United States Tax 18 Court, United States Court of Veterans Appeals, and Although the Federal Judicial Center Board already United States Court of Military Appealseither exist as includes a bankruptcy judge, 28 U.S.C. § 621(a)(2) (1988), independent entities or receive administrative support from similar provision should be made for a magistrate judge. the executive branch. Absent a change to Article III status, Magistrate judge participation in the Board is consistent future planning should include consideration of whether the with the basic principles stated above, and with the general Court of Federal Claims would be better served by an ad- policy of comparable treatment for bankruptcy judges and ministrative arrangement similar to that of other Article I magistrate judges in administrative matters, including sala- courts. ries and resource allocation. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 85 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

Implementation Strategies: litigation, or other court operations. Trans- fer of that responsibility to the third branch 51a Administrative oversight and will not adversely affect Congress's legis- policy-making responsibility for the fol- lative oversight or budgetary authority lowing programs should reside with the regarding these three program areas. Rather, it would remove executive branch control institutions of judicial governance or over areas that should logically and appro- agencies operating under their supervi- priately be within the purview of judicial sion: branch administration and policy making.

judicial space and facilities program; In seeking to establish programmatic oversight of security matters within the ju- court and judicial security program; dicial branch, this plan does not recommend and a change in the institutional status of the United States Marshals Service, a bureau bankruptcy estate administration (i.e., within the Department of Justice. However, the U.S. trustee system). the Service's "primary role and mission [is] . . . to provide for the security and to obey, The federal courts are a constitu- execute, and enforce all orders of the United tionally created, co-equal branch of States District Courts, the United States government. They should and must operate Courts of Appeals21 and the Court of Interna- with all reasonable autonomy. It is incon- tional Trade." On occasion, concerns have gruous and inappropriate that they should be arisen about the relative priority of mar- required to rely on the executive branch for shals' duties relating to court and judicial administrative support in any area. This security vis-a-vis their other law enforce- principle dates back to 1939, when Congress ment responsibilities. To ensure that the established the Administrative Office to Marshals Service can fulfill its primary re- handle many of the functions previously per- sponsibility (particularly in an era of limited formed by the Justice Department. resources), the Judicial Conference and its committees should be responsible for re- viewing, and developing when necessary, There are 19today three significant policy relevant to court security matters. areasbuildings,20 judge and courthouse security, and bankruptcy estate admini- Among other things, the Conference should strationin which the executive branch have final oversight authority with respect to retains substantial responsibility for pro- preparation and execution of the courts' se- grams or activities directly related to judges, curity budget.

19 See Chapter 8, Recommendation 71 infra. For the past Transfer of oversight authority for five years, the Judicial Conference has sought legislation to bankruptcy estate administration was among obtain authority, independent of the General Services Ad- the measures recommended nearly five years ministration (but subject to congressional authorization and ago by the Federal Courts Study Commit- oversight), "to determine and execute the judiciary's pri- 22 orities with respect to space and facilities management." tee. Placing the U.S. trustee system under REPORT OF THE PROCEEDINGS OF THE JUDICIAL CONFERENCE judicial branch control would eliminate OF THE UNITED STATES 81 (Sept. 1989). Although coordination of effort with GSA has improved since that time, the separation of powers issues and avoid po- need for judicial (rather than executive) branch control over the assessment of need, and the design, construction, 21 See and management of judicial space and facilities ultimately 22 28 U.S.C. § 566(a) (1988). EPORT OF THE EDERAL OURTS TUDY OMMITTEE 20remains. R F C S C See Chapter 8, Recommendation 61 infra. 77-78 (1990). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 86 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

tential conflicts of interest in cases where the branch of responsibility for the federal federal government, represented by the Jus- courts' budget: tice Department, is a creditor. It would also be considerably less expensive to operate, [T]he result of the provisions of the and would minimize duplication of function bill as now written, it is expected,

and case management conflicts between23 the will provide, first of all, the separa- U.S. trustees and the bankruptcy courts. tion of the Department of Justice At the very least, the parallel bankruptcy from immediate and actual and inti- administrator program in the judicial branch mate participation in the monetary should be permitted to continue in those affairs of the courts, so that it will districts that currently operate outside the not be necessary for a judge to im- U.S. trustee system or may in the future portune the Attorney General before elect to do so. getting a typewriter, or an addition to

his library, . . . or25 some other matter 51b Responsibility for developing and of that kind . . . . presenting to Congress requests for funding of the federal courts and agen- Although Congress requires the cies of judicial administration should President to include in the annual budgets remain solely within the judicial branch. both estimated expenditures and proposed appropriations for the entire federal government, the spending estimates and funding For the first 150 years of the requests for the judicial and legislative federal court system, the executive branch branches are to be submitted to Congress (ultimately the Department of Justice) was 26 "without change." Thus, with respect to responsible for managing the financial af- the judicial budget, "neither [the Office of fairs of the lower courts, including the 24 Management and Budget] nor the President preparation of budget estimates. The ob- exercise any discretion . . . [and] inclusion of vious separation of powers issue prompted th[o]se items in the annual budget is merely the transfer of that responsibility, in 1939, 27 a ministerial act." from the Attorney General to the Director of the newly created Administrative Office. As the federal government continues to chart its course through an era of fiscal In the legislative history of the Ad- austerity, the judicial branch must maintain ministrative Office Act, the authors noted its independence from fiscal oversight or the importance of relieving the executive control by the executive branch. Although

23 statutory law already reflects this principle, Final Report and Recommendations of the Long-Range there have been and may continue to be ef- Planning Subcommittee of the Committee on the Admini- stration of the Bankruptcy System of the Judicial forts by the executive branch to protect the

Conference24 of the United States 18-19 (June 1, 1993). funding of other federal programs at the ex- Until the early part of this century, the Supreme Court pense of the courts. If the courts are to not only prepared its own budget requestsa function it still performs todaybut also submitted them directly to Congress. Although Congress, in 1921, required the Court to forward its estimated expenditures and proposed appro- 25 priations to the President for submission as part of the 26 S. Rep. No. 426, 76th Cong., 1st Sess. 3 (1939). budget for the entire Government, the President was en- Budget and Accounting Act, as amended, 31 U.S.C. joined to include those items in the budget "without §27 1105(a)(5), (b) (1988 & Supp. V 1993). revision." Budget and Accounting Act, ch. 18, § 201(a), Matter of W. Wasserstein, No. B-198507, B-198507 42 Stat. 20 (previously codified at 31 U.S.C. § 11(a)(5) L/M, 1980 WL 16612 (Comp. Gen. 1980) (applying the (1976)). This arrangement was later extended to the entire same restriction to OMB and presidential involvement with judicial branch (see note 26 infra and accompanying text). legislative budget requests). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 87 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

perform their constitutional mission, these submission to Congress? A single judicial efforts must be resisted. budget should be submitted which, in the main, treats every court session the same, according to the kind of work involved, Accountability when measured against nationwide benchmarks for such work. ^ RECOMMENDATION 52: The judicial branch should continue to develop and ^ RECOMMENDATION 53: The existing enhance a mechanism for effective mechanisms for judicial discipline coordination and review in budget should be retained. In particular, the formulation and execution. impeachment process should continue Independence from executive branch to be the sole method of removing Ar- oversight and control in the budgetary proc- ticle III judges from office. ess carries with it important obligations of fiscal responsibility, accountability, and ef- Impeachment is the only means set ficiency in all court and judicial support forth in the Constitution for removing an operations. By establishing an "Economy Article III judge from office and barring that individual from the further exercise of judi- Subcommittee"28 under its Committee on the Budget, the Judicial Conference has ac- cial power. While the constitutional regime knowledged the importance of a permanent, favors a judiciary of substantial independ- analytical and systematic means of develop- ence, removal through impeachment is an ing final budget estimatesone akin to that explicit qualification on judicial independ- provided by the Office of Management and ence, and one of a number of permissible Budget in the executive branch. In the years mechanisms to make a judge accountable ahead, the Conference and its committees for his or her actions. should continue to scrutinize thoroughly funding requests from the various compo- Recent impeachment proceedings nents of the judicial family, before they are that proved burdensome to Congress submitted to Congress. prompted an extensive study of the impeachment process by the National The mechanism by which that scru- Commission on Judicial Discipline and tiny is exercised must, of course, respect the Removal. Without endorsing all its principles of collegial decision making and recommendations, this plan concurs in the local autonomy that characterize judicial Commission's central recommendation governance generally. Indeed, budget for- that impeachment should remain the sole mulation is a challenge in an institutional method for removing life-tenured federal culture where decentralized budget execu- judges from office. While cumbersome, the tion is the norm. If a rural district and an impeachment process has proven itself ef- urban district spend their resources in two fective in removing from office judges who markedly different ways, yet each delivers fail to honor their oaths, while at the same superior judicial services to the people of time insulating honest members of the judi- those districts, should one approach be fa- ciary from political attack. vored over the other in the courts' budget As the Commission recognized, 28 there are significant individual and institu- REPORT OF THE PROCEEDINGS OF THE JUDICIAL CONFERENCE OF THE UNITED STATES 42 (Sept. 1993). tional constraints on federal judges, apart The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 88 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 7 / GOVERNANCE: MANAGEMENT AND ACCOUNTABILITY

from impeachment, that assure their ac- Conduct for United States Judges; formal countability and fidelity to their oath of disciplinary mechanisms under the Judicial office. Foremost among these constraints Councils Reform and Judicial Conduct and are the character and self-discipline of indi- Disability Act of 1980; and congressional vidual judges, as well as the combined effect oversight under that Act. These formal and of the requirement to provide written, rea- informal constraints guarantee the everyday soned opinions, the doctrine of stare decisis, accountability of federal judges yet ensure and the "watchful eye" of the bar. Institu- that impeachment is an exceedingly rare tional constraints include: peer pressure event. among judges sitting in a court; the Code of

Federal Judicial Center • The Executive Committee: - acts for the Conference in emergencies and between sessions • Board consists of the Chief Justice (chair); - sets Conference agenda two active circuit judges, three active district - resolves differences among other Conference committees judges, and one active bankruptcy judge - approves the federal courts’ spending plan for each fiscal year elected by the Judicial Conference; and the - coordinates judicial branch relations with Congress and the executive branch Director of the Administrative Office • Director and Deputy Director are appointed by • 19 other standing committees and 1 ad hoc committee—each with a defined subject area the Board • Members appointed by the Chief Justice, generally for 3-year terms with a 6-year maximum term of Long Range Plan Long Range Plan • Principal functions: service on any committee; most committees consist solely of judges, but some include academics,

, including commentary on , including commentary practicing attorneys, and state judges - educational programs for judges and court employees • Meet twice each year (the Executive Committee and some other committees meet more frequently) - research and planning support to the toguide future • Administrative Office performs secretariat and general staff support functions; upon request, the courts and the Judicial Confer- Federal Judicial Center may provide research, advice, and educational support ence

Federal Court Governance—National Institutions individual recommendations and strategies, explains and supplements theapproved itemsbutdoes notnecessarily reflect theviewsof the Conference. inthis administrative action andpolicydevelopment by theConference andother judicialbranch authorities. Allothertext The Judicial Conference oftheUnited Stateshas approved therecommendations andimplementation strategies inthis Court of Appeals

• The chief judge—who has precedence over other judges in the court and presides at any session he or she attends—is the circuit judge most senior in commission with at least one year of service but less than 65 years of District Court age at the time of becoming chief judge. A judge may serve as chief circuit judge for no more than 7 years or until he or she attains the age of • The chief judge—who has precedence over other judges in the court and presides at 70, whichever occurs first. any session he or she attends—is the district judge most senior in commission with at least one year of service but less than 65 years of age at the time of becoming • Though not statutorily mandated, the chief circuit judge is generally chief judge. A judge may serve as chief district judge for no more than 7 years or considered responsible for the effective and efficient administration of the until he or she attains the age of 70, whichever occurs first. court of appeals in compliance with statutes, Judicial Conference and

circuit judicial council policies, and regulations issued by the Administra- CHAPTER 7/GOVERNANCE:MANAGEMENTANDACCOUNTABILITY • The chief district judge is responsible for enforcing court rules governing the tive Office with Conference approval. division of business among the judges, and he or she is authorized to divide business and assign cases to the extent not provided in the court rules. Though not • The court of appeals (i.e., the body of all circuit judges in regular active statutorily mandated, the chief judge is generally considered responsible for the service) appoints bankruptcy judges as judicial officers of the district effective and efficient administration of the district court in compliance with court. The court also appoints the clerk of court, court crier, and circuit statutes, Judicial Conference and circuit judicial council policies, and regulations librarian, and it approves appointments of the court’s staff attorneys, issued by the Administrative Office with Conference approval. deputy clerks, and other court employees (other than chambers staff). The court adopts its own local rules of practice and procedure. • The district court (i.e., the body of all district judges in regular active service) appoints magistrate judges as judicial officers of the court and designates the chief bankruptcy judge (where there is one). The court also appoints the clerk of court, court crier, and court reporters, and it approves the appointments of deputy clerks, clerical assistants, and other court employees (other than chambers staff). The court adopts its own local rules of practice and procedure. Circuit Judicial Council

Bankruptcy Court • Members: Chief judge of the court of appeals for the circuit (chair); equal number of active circuit and district judges of the circuit (precise numbers, terms, and • The bankruptcy court is a unit of the district court. Judges of the bankruptcy mode of selection determined by vote of all active Article III judges of the circuit); court are appointed by the court of appeals and the chief bankruptcy judge (in and, in some circuits, senior judges, bankruptcy judges, and/or magistrate judges as Long Range Plan Long Range districts with more than one bankruptcy judge) is designated by the district non-voting observers Plan court. • Meetings: Required to meet at least twice a year but often does so more often , including commentary on , including commentary • The chief bankruptcy judge (where there is one) is statutorily responsible for • Functions: Makes “necessary and appropriate orders for the effective and expedi- enforcing the rules of the district court and the bankruptcy court and seeing toguide future tious administration of justice” within the circuit (all judges and employees in the that bankruptcy court business is handled effectively and expeditiously. circuit are required by statute to give effect to council orders); considers complaints • The bankruptcy court (i.e., the bankruptcy judges in regular active service) of judicial misconduct and disability if referred by the chief circuit judge; reviews appoints the clerk of the bankruptcy court and approves the appointment of and may abrogate district court rules; appoints the circuit executive (who is deputy clerks. secretary to the council); authorizes law clerk and other chambers personnel; approves chambers and courtroom space; performs numerous other duties as 91 prescribed by statute or Judicial Conference policy Federal Court Governance—Regional and Local Institutions (except special courts)

Chapter 8 Resources

ESOURCEShuman and eco- This chapter's recommendations as- nomicprovide the means for the sume that the federal courts will avoid the federal courts to carry out their mis- dramatic expansion of size and role dis- sion. The near future will continue to be cussed in Chapter 3. A greater magnitude Ran era of austerity as far as federal budgets of resources and far more resource manage- are concerned, and the judicial branch will ment would be required by a federal court have to do more with less. The plan con- system with significantly greater workload templates that the federal courts will have and personnel. A system of such gargantuan to redouble previous efforts to cut red tape, proportions would, if it were to provide jus- streamline the budget process, add flexibility tice anything like that which we know today, to personnel and procurement practices, de- generate costs that the nation will quite centralize decision making, and eliminate simply be unable to afford. The recommen- inefficient and unnecessary activities. dations are also based on the belief that the nation cares about quality justice and will The plan also assumes that court per- pay a fair price to obtain it. A few of the sonnel will be subject to growing demands, resource issues raised by the alternative fu- and that the federal judiciary will have to ture of the federal courts are discussed in compete vigorously for the new talent nec- Chapter 10. essary to maintain the standard of excellence that is the hallmark of the federal system. From judges' chambers to clerks' offices to Obtaining Adequate Resources probation and pretrial services operations, ^ the federal courts must implement strong RECOMMENDATION 54: The federal resource management practices. courts should obtain resources ade- Justice is expensive, and legislative quate to ensure the proper discharge additions to the federal courts' jurisdiction of their constitutional and statutory are not cheap. The federal courts must mandates. continue to seek the resources necessary to carry out the tasks assigned by Congress Any comparison to the state courts and the Constitution, and they will remind discloses that the federal courts have been the nation and the political branches that well funded. During the past decade, Con- maintaining the traditional standards of the gress has provided the judicial branch with federal courts will be worth the added cost. a rate of resources growth about equal to The extent of that cost will depend on which that of the Department of Justice, but well vision of justice the nation decides should be above that of executive branch agencies and, the next centurys reality. in recent years, that of the Congress itself. Congressional penury has not placed the

^ federal courts in their current circumstances. RECOMMENDATION 55: Congress, Rather, the current situation results from when enacting legislation affecting the the increased workload of the federal courts federal courts, should be encouraged and their honest adherence to empirical workload formulae as the basis for budget to appropriate sufficient funds to ac- justification. Where workload has in- commodate the cost to the courts of creased, the federal judiciary has argued that the impact of new legislation. resources ought to increase as well. Where workload remains flat or decreases mark- The Administrative Office of the edly, budget requests are correspondingly United States Courts currently prepares and limited or reduced. makes available to Congress judicial impact statements on legislation potentially af- The regrettable reality is that while fecting the judiciary, on the principle that recent judicial budgets have shown sizeable funding should be commensurate with increases, the increases have not kept pace responsibility. Congress should be with the volume and costs of additional encouraged to refrain from enacting new tasks that the courts have assumed under legislation that adds to the workload of the new congressional mandates. Insufficient federal courts without also approving suffi- resources are ultimately a threat to judicial cient funds for the judiciary to meet its branch independence. Overload and delay obligations under that legislation. Alterna- become the first consequence. Some judi- tively, in lieu of appropriating new funds cial responses to delay may reduce the to support the performance of new judicial quality of federal justice. On the other hand, responsibilities, Congress should be urged to failure to decide cases more quickly creates reduce the judiciarys existing obligations access barriers to litigants unable to bear the sufficiently to offset the impact of any new costs and consequences of delay. legislation1 with a quantifiable judicial impact. Separation of powers principles require that no branch of government deprive ^ another of either the powers or resources it RECOMMENDATION 56: Federal judges needs to perform its core functions. Dis- should receive adequate compensation charge of the judicial function as an as well as cost-of-living adjustments independent branch requires resources suf- granted to all other federal employees. ficient for the judiciary to perform all its constitutional and statutory mandates. Un- Implementation Strategies: like several state judiciaries, which have asserted an inherent right to compel funding 56a beyond regular appropriations for judicial Congress should be encouraged functions, federal courts depend on the Con- to refrain from the current practice of gress to provide them with sufficient linking judicial and congressional pay resources. Chronic failure to provide ade- raises. quate resources puts federal judges in the unfortunate position of supplicants, con- 56b Congress should be encouraged to stantly begging the Congress for funds. repeal section 140 of Public Law No. 97- 92.

1 See Chapter 4, Recommendation 13 supra. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 94 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 8 / RESOURCES

The real compensation of Article III that received in 1969 as adjusted for infla- judges must not be diminished. The matter tion. Consequently, consistent with the of adequate compensation, including routine spirit of the irreducible salary clause, federal cost-of-living adjustments, is at the heart of judges should automatically receive salary an independent judiciary. The erosion of the increases when other federal employees re- real compensation of judges amounts to a de ceive them. facto diminution in the salary of the judicial office. While perhaps not violating the irre- ^ ducible salary clause of Article III, any RECOMMENDATION 57: Congress denial violates the spirit of the clause and should be encouraged to include ap- undermines the independence of the judici- propriations for the constitutionally ary from Congress. Current practice from time to time has forced federal judges to mandated functions of federal courts serve with inadequate compensation, to as part of the non-discretionary fed- leave the bench, or to ask Congress for com- eral budget. pensation while at the same time sitting in review of congressional enactments. It also Several of the current functions of threatens the ability of the judiciary to attract the judicial branch are constitutionally man- and retain judges. dated. As such, costs for these budgets are not discretionary with the judiciary or the The present mechanisms for setting Congress. Therefore, the political branches judicial compensation have failed to protect should be urged to treat these items of federal judges from erosion in their real pay. the judicial budgets as non-discretionary This may be attributable, in part, to section spending, and to afford appropriations 140 of Public Law No. 97-92, which re- automatically once these items are budgeted by the judiciary. quires affirmative congressional2 approval of a judiciary pay increase. It is important to seek repeal of this statute, and to devise a ^ system to protect against diminution in the RECOMMENDATION 58: The federal salary of the judicial office. Formerly, the courts, including the bankruptcy Quadrennial Commission played a useful courts, should obtain funding primar- though imperfect role in facilitating pay in- ily through general appropriations. creases. A similar mechanism should be devised in place of the present non-viable Federal courts are an indispensable structure. forum for the protection of individual constitutional rights; their costs are properly At present, federal judicial compen- borne by all citizens. Unlike other govern- sation has fallen to more than 20% below mental operations such as national parks, for which substantial funding through user fees 2 Pub. L. No. 97-92, § 140, 95 Stat. 1183, 1200 (1982). may be appropriate, the mission of federal This provision, enacted in a continuing appropriations courts could not be performed if users were resolution 13 years ago, bars all automatic cost-of-living denied access because of an inability to pay adjustments for federal judges except as specifically authorized by Congress. Although the sponsor of the pro- reasonable user fees. vision originally intended that it apply only to a single year, it has been interpreted by the Comptroller General as At least three reasons support con- permanent law. The Comptroller General recommended repeal of section 140 to the 99th Congress, but Congress tinued reliance on general appropriations instead has adopted a practice of suspending application of instead of user fees. First, given that the section 140 to particular cost-of-living raises.

frequency of federal court filings can vary to stay on the bench for the lifetime substantially from year to year, economic tenure that the Constitution contem- uncertainty about the amount of revenue that plates and guarantees. can be raised annually through user fees makes user fees an unreliable and, therefore, The primary resource of the federal undesirable source of funding. Second, courts is the men and women who serve as with that uncertainty, constant fee adjust- judges. Preserving the core value of excel- ments might be necessary in order to sustain lence depends on the federal courts' ability ongoing judicial programs. Finally, and to attract the highest caliber of lawyers and most importantly, litigants should not be so retain those persons for a lifetime of service. burdened with fees as to effectively elimi- Constant turnover in the federal bench, nate the access of some low and moderate through resignation or retirement, has unde- income users to our federal forum. The rea- sirable consequences. Experienced judges sonableness of fees and principles relating to who leave the bench take with them signifi- revenues and fees are discussed in the next cant expertise, and, under current practice, chapter at Recommendation 90. those judges are seldom replaced for several years. The bankruptcy courts and bankruptcy cases should be treated similarly. As long as their physical and mental Before the Bankruptcy Reform Act of 1978, capabilities allow them to, federal judges the bankruptcy system had been financed should continue to serve, first as active through fees, with general revenue covering judges and then, when they reach senior operating deficits in the system. The Com- status eligibility and wish to slow down, mission on the Bankruptcy Laws of the as senior judges. There should be an expec- United States recognized that the system tation of a lifetime commitment for federal could not be self-supporting without signifi- judges from the time of appointment cantly raising financial burdens on debtors (despite the possible financial sacrifice). It and creditors, and therefore recommended should be made clear that "revolving door" discontinuing court financing through fees. judgesthose who stay on only a few Legislative history of the 1978 Act reflects yearsdo not best serve the interests of the that the bankruptcy court, like other federal judicial branch and the nation. (This ex- courts, should be financed through appro- 3 cludes those judges who choose to accept priations. exceptional appointments to serve the public in high positions in the executive or legislative branchas several FBI Directors, Ensuring Lifetime Service on the Bench Attorneys and Solicitors General, a Senate ^ Majority Leader, and a Counsel to the Presi- RECOMMENDATION 59: Incentives dent have done.) Nor are those interests should be created to allow the courts served by those few judges who, when ap- to attract and retain the best-qualified pointed, already intend to remain only for persons as judges and eliminate dis- the requisite years until eligible for retirement and then return to practice or go on to incentives to long judicial service. other careers. Federal judges should be encouraged

3 Measures that encourage judges to See 124 CONG. REC. S 17406 (Oct. 6, 1978) (statement by Senator DeConcini upon introducing the Senate amend- leave the bench after serving for specified ment to the House amendment to H.R. 8200), reprinted in periods of time should be avoided. For ex- 1978 U.S.C.C.A.N. 6505, 6554. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 96 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 8 / RESOURCES

^ ample, until fairly recently, a judge who left RECOMMENDATION 61: Adequate se- the bench entirely at age 65 would not con- curity protection should be provided tinue to receive a full salary (as pension) for for judges and court personnel at all life. That was changed in 1984, so that now a judge eligible for senior status under the court facilities and when they are away rule of 80 (age 65 and 15 years of service) from the courthouse. can leave the bench entirely, practice law Implementation Strategies: or teach or engage in any other private endeavor, and still receive full pay (as pension). Such measures should be avoided in 61a Where necessary, home security the future. For instance, lowering eligibility systems and portable emergency com- under the rule of 80, to an age 60 and 20 munications devices should be provided. years of service requirement (as is now being considered) or change to a rule of 75 61b New judges and their families should apply only to judges who take senior 4 should receive security briefings. status and stay on the bench. 61c Training for judges in security ^ RECOMMENDATION 60: Service-year should be made available. credit toward benefits vesting for 61d Judges and probation officers service already rendered as federal should receive information whenever judicial officers should be awarded to prisoners are released. The notification bankruptcy and magistrate judges should include an assessment of the elevated to the Article III bench. violent nature of the prisoner and the potential risk he or she poses to judicial Current law contains disincentives branch personnel. for sitting bankruptcy and magistrate judges to accept elevation to the Article III bench. The judiciary should be directly Upon elevation, these judicial officers re- involved in the development of security ceive no service-year credit under the policy, the establishment of security priori- retirement and disability benefits plan for ties, the implementation of a comprehensive Article III judges for service rendered as a security program, and the monitoring5 of the federal judicial officer. These disincentives use of judicial security resources. are an unnecessary impediment to the judiciary's ability to attract the best qualified The Judicial Conference Security, persons to the Article III bench, and illogi- Space and Facilities Committee has noted cally penalize those who have served and the need to bring all federal judicial court will continue to serve in the federal courts. buildings under judicial branch direction in order to comply more effectively with security standards. In addition, that committee has proposed changing courthouse 4 See also Recommendation 56 regarding judicial compen- design, where possible, to allow only one sation. For over 25 years, the Judicial Conference has public entrance and to have at least one supported expansion of the rule of 80 to allow earlier eli- maximum security courtroom, as well as to gibility for senior status, not for complete retirement from avoid housing judicial facilities in multi-use the bench. See, e.g., REPORT OF THE PROCEEDINGS OF THE UDICIAL ONFERENCE OF THE NITED TATES J C U S 54 (Oct.- 5 Nov. 1969); id. at 77 (Oct. 1970); id. at 11-12 (Mar. 1978). See Chapter 7, Implementation Strategy 51a supra. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 97 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

facilities. Current federal property regula- be used effectively, efficiently, and fully. tions should be modified to permit needed Only in so doing will the goal of carefully new courthouses to be placed in areas rep- controlled growth of the federal judiciary be resenting new and projected population attained. centers. Moreover, security briefings should be offered to judges and court personnel ^ at least annually. RECOMMENDATION 62: Standards and procedures for the assignment of All judicial officers should be pro- circuit, district, magistrate, and bank- vided with an appropriate level of security protection at all times when they are away ruptcy judges to perform judicial from the courthouse. The level of off-site duties in other jurisdictions should be security provided should be determined flexible. based upon an assessment utilizing risk management principles. Previously, the Ju- Workloads frequently shift among dicial Conference has called for legislation judicial districts, often with little relation to to enable judicial officers to carry firearms, the number of judges serving in them. In- for ensuring the safety of judicial officers termittent increases in filings cannot be while they are away from the courthouse, addressed effectively through creation of additional judgeships or realignment of and for establishment of court security as the6 primary duty of the United States Marshals. boundaries. What is needed is greater flexibility and efficiency in the use of exist- The Judicial Conference should as- ing judicial resources. sume responsibility for overseeing the assignment of court security personnel in Consolidation of districts can assist accordance with recently developed stan- in equalizing workloads and thus ameliorate dards for deploying court security officers some of the worst workload/resource imbal- for all districts. This deployment should be ances. But there is a growing need for accomplished with sufficient flexibility to visiting circuit, district, magistrate, and address the particular needs of a specific bankruptcy judges to provide temporary as- district, taking into consideration the dis- sistance. For many years inter-circuit and tricts size, location, number of judges, past intra-circuit assignments have been used to history of violence, and future projections. direct judge power from courts with less burdensome dockets to those where additional help is needed. Although critical to Making Most Effective Use of Judicial the judiciary's success in meeting workload Resources demands to date, these procedures are often cumbersome, potentially frustrating prompt relief of overburdened courts even where To ensure continued access to sufficient judicial7 resources exist within the quality federal justice, the structure and system at large. processes for judicial resource allocation 7 should be made more efficient and flexible. An example of this potential can be seen where a judge All judgesincluding senior judges, magis- cannot travel short distances to assist a court in another trate judges, and bankruptcy judgesshould district without the approval of the chief circuit judge or circuit judicial council (located two or three states distant 6 in some cases) or, if the other district lies within another REPORT OF THE PROCEEDINGS OF THE JUDICIAL CON- circuit, the Chief Justice of the United States. Large met- FERENCE OF THE UNITED STATES 69 (Sept. 1990); id., at 12- ropolitan areas such as Kansas City, New York City, St. 13 (Mar. 1989). Louis, and Washington, D.C., are each divided among two The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 98 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 8 / RESOURCES

The present alignment of judicial In the event that the federal judicial districts calls for rethinking the rigid alloca- system is unable to address future judge tion of judges to individual courts. New power needs in a prompt and efficient man- standards and procedures are needed for the ner, the judiciary should consider structural temporary assignments of judges to over- changes to streamline temporary assignment burdened courts, and to ensure adequate authority. One approach might be to space, staff, and other resources when they authorize district judges to hold court in any get there. In an October 1992 survey, district located within a certain distance or just over 71 percent of the respondents travel time of their permanent duty stations (approximately 75 percent of active judges upon designation by the chief judges of the responding) supported easier movement of respective courts. judges for purposes of holding court in8 districts requiring temporary assistance. Another innovative approach, already employed in some districts and To assist in the development of this circuits, employs a standing agreement for long range plan, the Judicial Conference a set period, e.g., one year, among several Committee on Intercircuit Assignments ex- contiguous districts, and approved by the amined the current process for assigning councils of the concerned circuits, to permit judges to temporary duty on other courts and immediate cross-assignment of judicial per- generally reviewed the impact of district sonnel upon request and agreement between and/or circuit boundaries on efficient9 de- the two courts involved. Although sound ployment of judicial resources. Although reasons may exist to retain oversight and the idea of requiring judges to accept tempo- control of judicial movements in general, rary assignments to courts in serious need of there is little to recommend in a process that assistance was rejected as potentially divi- frustrates access by overburdened courts to sive and disruptive of courts and individual nearby, underutilized judicial resources.

judges efforts10 to manage their time and caseload, the committee recognized the Further steps may be taken to cope

importance of making11 the system "simpler with disparate workloads: and more flexible."

Corporate venue and transfer statutes or more districts, sometimes falling into different circuits. Unnecessary expenditures of judicial time on travel result should be amended to remove all obsta- in places where circuit and district boundaries are com- cles to the interdistrict transfer of cases bined with substantial distances between places of holding for judicial economy. court. An example of this can be found at New Albany (located in the Southern District of Indiana, Seventh Cir- cuit), which is adjacent to Louisville (principal place of Obstacles, such as funding restraints, to holding court in the Western District of Kentucky, Sixth the interdistrict and intercircuit assign- Circuit), but must be served by judges travelling more than 8100 miles from Indianapolis thrice annually. PLANNING FOR THE FUTURE: RESULTS OF A 1992 FEDERAL Assignments; (2) publicize more widely the availability of JUDICIAL CENTER SURVEY OF UNITED STATES JUDGES 12, temporary assignments as a case management tool;

34,9 56, 78, & 100 (Federal Judicial Center 1994). (3) identify courts that may benefit from the services of Report of the Judicial Conference Committee on Intercir- visiting judges; (4) survey active judges to determine who cuit Assignments to the Judicial Conference Committee on may be underutilized and willing to assist courts in other i.e 10Long Range Planning (Jan. 31, 1994). circuits; (5) recommend long-term ( ., up to one year) See id. at 12. The committee agreed, however, to seek a open assignments of senior judges on an experimental ba- statutory amendment allowing delegation of the power to sis; and (6) evaluate, through voluntary, post-assignment authorize intercircuit assignments if the Chief Justice finds reports, the overall effectiveness and impact of visiting Id that11 responsibility to be "cumbersome." . at 10. judges on court caseloads, staff and facilities. The commit- To that end, the committee agreed to undertake the fol- tee believes that "major improvements will result" from lowing measures: (1) recommend to the Chief Justice these actions, enabling it "to meet current and future re- appropriate amendments to the Guidelines on Intercircuit quirements." Report, supra note 9, at 10-12. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 99 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

ment of judges to districts in need should judges to handle its caseload. In 1995, sen- be removed. ior judges provided service equivalent to 100 active district judges. According to an Rules and procedures should be promul- estimate made in 1989, the nation would gated to make clear a judges authority need an additional 80 judges, at an annual to conduct proceedings in a case in an- cost of approximately $45 million, to com- other district from the judges home pensate for the loss of senior judges. With district. the number of senior judges much higher now than it was in 1989, this estimate is Judicial emergency teams comprised, probably much too low. in one instance, of an available district judge and an accompanying magistrate When a judge takes senior status, it judge, should be an alternative for dis- creates an immediate vacancy on the court

patch to districts seriously understaffed12 even though the judge continues to work. or overburdened by caseload. This means that a younger full-time judge will be appointed to fill that spot. When a ^ senior judge continues to work, the court has RECOMMENDATION 63: The courts both a new judge and the assistance of an should use senior and recalled experienced senior judge often working half- judgesa significant portion of fed- time. As a result, the court enjoys in that judgeship a 50 percent increase in judge eral judge poweras much as needed power. to achieve the goal of carefully controlled growth. New legislation allows recall of bankruptcy judges and magistrate judges to Senior judges carry a significant render judicial services as needed. This en- portion of the caseload of the federal judici- ables the courts to benefit further from the ary, accounting (in the statistical year ended experience these judges bring to the courts June 30, 1995) for 17,532 appellate partici- they serve. pations and conducting 3,723 trials. This amounted, respectively, to about 17% of all ^ appeals and about 19% of all trials. In many RECOMMENDATION 64: The value of districts and circuits, the work of senior senior judge status should be recog- judges has been indispensable to the effective performance of the work of the federal nized, and policies and procedures that courts. Senior judges also take up the slack affect senior judges should be periodi- caused by vacancies in courts across the na- cally reviewed, in order to insure that tion and contribute significantly to the senior judge status is an attractive al- administration of the federal judicial system. ternative.

Without their efforts, the federal ju- In recent decades, there has been a diciary would need substantially more new and alarming trend for federal judges to leave the bench entirely when they reach 12 retirement eligibility, rather than take senior Such a judicial emergency team has been formed in the Southern District of Iowa. See Statement of Chief Judge status. From the early days of the federal Charles R. Wolle to Committee on Long Range Planning, judiciary, few judges voluntarily left the in Transcript of Public Hearing on the Proposed Long bench before the age of 70. In the last 25 Range Plan for the Federal Courts, Dec. 16, 1994, at 151, 161ff. years, however, 81 have left, only 16 of The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 100 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 8 / RESOURCES

whom were age 70 or over. The reasons for formation and inclusion of senior judges "in the recent trend are many, but it can be safe- the loop." ly assumed that in most cases economic, workload, and status-related factors played In all these situations, senior judges a decisive role. should be treated, if practicable, as though they were active judges with the same sen- Senior judges should suffer no dis- iority. Each court of appeals and district crimination upon assuming that status. To court should review their practices and the contrary, they should be treated with the policies (including those dealing with annual consideration that their years of service jus- recertification of senior judges) to ensure tify. Fearing the impact of prejudicial that senior judges are accorded full court policies, some active judges may decide to participation and treated with the respect remain in full-time active status, when, be- and dignity which is their due. Among other cause of advancing years, they should things, they should be referred to, if so de- change their status to senior. Other active sired, as judge rather than senior judge. judges may decide to forego senior status In addition, current statutory provisions when eligible and simply leave the bench limiting the powers and rights of senior altogether. A fair, responsive policy for judges should be reexamined as appropriate. utilizing this invaluable resource will deter Consistent with this aim, the Judicial Con- the use of either of these alternatives. ference at its September 1995 session adopted a resolution recogniz[ing] that Responses to a recently conducted senior judges provide an invaluable resource survey of senior judges and active judges to the Federal courts . . . [and] should be eligible or soon to be eligible for senior provided the same level of respect and def- status indicate that the treatment of senior erence as their active colleagues, and . . .

judges often ignores their important contri- suffer no diminution in status because14 of butions. Examples of disincentives to taking their retirement from active service. senior status and remaining on the bench, ranging from major to petty, abound. For ^ example, the 1989 legislation concerning RECOMMENDATION 65: Magistrate

salaries of federal judges limits the potential13 judges should perform judicial duties pay increases for certain senior judges. to the extent constitutionally permis- This distinction should be eliminated when sible and consistent with sound judi- practicable. In some circuits, senior judges are not considered to be "judges of the cial policy. Individual districts should court" for purposes of comprising panels un- retain flexibility, consistent with the der 28 U.S.C. § 46(b). Also, some but not national goal of effective utilization of all circuits treat senior judges unwisely with all magistrate judge resources, to have respect to a variety of matters, including magistrate judges perform judicial chambers assignment, provision of court re- services most needed in light of local porters, sitting preferences, participation and conditions and changing caseloads. voting in court meetings unless otherwise provided by statute, the placing of a senior As adjunct judicial officers of the judge on the bench in panels of three and in Article III district courts, magistrate judges court ceremonies, and dissemination of in- 14 REPORT OF THE PROCEEDINGS OF THE JUDICIAL CON- FERENCE OF THE NITED TATES 13 U S __ (Sept. 1995) 28 U.S.C. § 371(b)(2), (f) (Supp. V 1993). (forthcoming). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 101 þ LONG RANGE PLAN FOR THE FEDERAL COURTS are indispensable resources who are readily and other support services to enhance their available to supplement the work of life- ability to perform the functions specified tenured district judges in meeting workload above. demands. Maintaining an appropriate division of labor between district judges and ^ magistrate judges will pose a continuing RECOMMENDATION 66: Magistrate challenge to the courts. Maximum flexibility judges should be vested with a limited should be retained in the district courts to contempt power to punish summarily promote the most effective use of magistrate judges in each district in light of local con- for misbehavior committed in their ditions and changing caseload needs. presence, and to punish for disobedi- Although each district court exercises dis- ence or resistance to their lawful cretion in its use of magistrate judges, the orders in civil cases referred to them effort to encourage effective utilization of for disposition with the consent of the magistrate judges must be national in ap- parties. proach and effect. To be recognized and utilized as The need to conserve the increas- fully effective judicial officers in the district ingly scarce time of district judges will court, magistrate judges must possess the make effective and extensive use of magis- requisite legal authority and status, including trate judges (including those retired judges an ability to enforce their own orders. Al- available for recall service) a practical ne- though 28 U.S.C. § 636(e) provides that cessity in virtually all courts. Expanding the certain acts or conduct in proceedings as- role of the magistrate judge in the area of signed to a magistrate judge constitute a felony criminal trials should be examined, contempt of the district court, the authority taking into account constitutional considera- of the magistrate judge in such instances is tions and sound judicial policy. The district limited to certifying the operative facts to a courts should expand the use of magistrate district judge and serving a show cause or- judges to conduct civil proceedings with der on the alleged contemner. The power the parties' consent as currently authorized to punish litigants directly for contempt is by 28 U.S.C. § 636(c). Use of magistrate essential in all cases of misbehavior in a judges for this purpose may necessitate magistrate judges presence, and in cases of reassessment of how they perform other disobedience or resistance to a lawful order functions. It has been suggested, for exam- issued in civil matters referred to a magis- ple, that where only an issue of law must be trate judge for disposition with the consent resolved, use of the report and recommen- of the parties. Indeed, the present lack of dation procedure is inefficient because it is contempt power for magistrate judges can be a duplicative use of resources. a major detriment to their performance of judicial functions. District courts should adopt comprehensive plans for using magistrate judges in accordance with Judicial Conference Diminishing the Problem of Judicial guidelines. This process could lead to de- Vacancies velopment of minimum standards to ensure that existing magistrate judge resources are ^ ECOMMENDATION used effectively before additional positions R 67: Attention are authorized. Magistrate judges should be should be given to the problem of fre- provided adequate staff, clerical, research,

quent, prolonged judicial vacancies in volved in the process, and the prevailing the federal courts. The executive political realities. Predictably, the results branch and the Senate should be en- vary. It is not the province of the judiciary couraged to fill vacancies promptly, to instruct the executive and legislative branches on how they should discharge their and the judicial branch should utilize responsibilities. Nevertheless, the other procedures and policies to mitigate the branches might consider measures aimed impact of vacancies on the capacity of at speedier, perhaps surer decisions. For the courts to conduct judicial business. example, they might wish to undertake periodic review and enhancement of the proce- Research aimed at eliminating ob- dures used to identify and screen judicial stacles to efficiency in the federal courts candidates, as well as devote additional fi- shows two disturbing trends: (1) an increas- nancial and personnel resources to the ing percentage of vacant judgeships; and selection process. (2) a lengthening average time from the oc- currence of a vacancy to the confirmation of Ultimately it may be more worth- a successor judge. Unfortunately, while the while to address the effect of the vacancy judicial vacancy rate is among the more se- problem rather than its various causes. rious problems facing the federal courts, the The impact of prolonged vacancies is in- solution to the problem lies primarily out- variably the same: courts are required to side the judicial branch. manage caseloads without adequate judicial resources. Although it may be possible to By constitutional design, the very expedite the appointment process, vacancies nature of judicial appointments is political. undoubtedly will continue to occur more Any potential solution that seeks to remove rapidly than the system can fill them. The politics from, and to shorten, the appoint- courts, in order to continue to meet their ments process would also dramatically mandates, must maintain the ability to func- change the nature of the appointment tion well at less than full strength. process and 15may require a constitutional amendment. This plan does not endorse Implementation Strategies: such drastic remedies. Nonetheless, several ideas for addressing the problem are out- 67a Delays in filling judicial vacan- lined here as a means of emphasizing how cies should be reduced by encouraging serious the problem is and why it requires 16 retiring judges and those taking senior prompt attention and appropriate action. status to provide substantial (i.e., six- At present, nominees for court of ap- month or one-year) advance notice of peals, district court, Court of International that action. Trade, and Court of Federal Claims judgeships are selected through a variety of The lengthiest delays in filling methods that depend on the type and geo- judgeships arise in the process of identifying graphic location of the positions to be filled, and evaluating the suitability of potential the decision making styles of persons in- nominees. If that process can be routinely commenced before a vacancy arises, the pe- 15 See Chapter 10, notes 11-17 and accompanying text riod of time in which a court is required infra 16 . to operate at less than full strength can be Chapter 10 also discusses the judicial vacancies substantially reduced if not eliminated. Ad- problem, suggesting more far-reaching solutions in the event of an alternative, much less favorable, future. vance notice can be used to achieve this The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 103 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

result in two ways: (1) directly apprising "benchmarks" or "timelines" for nomina- executive and legislative branch officials of tions and confirmations. If generally the impending need for a judicial appoint- recognized in the legal and political com- ment; and (2) allowing local bar and civic munities e.g., with support from bar organizations to use their resources to en- organizations, scholars, and the press an courage the President and the Senate to act expectation would be created that vacancies speedily in appointing a new judge. will be filled promptly. Periodic reports to Congress and the President would rein- Timely selection of successor judges force the point by reminding the other two depends, of course, on prompt notice of re- branches, and the public at large, of any tirement decisions as they are made. Be- vacancies extending beyond the suggested cause this entails voluntary cooperation from time frames. In addition, the policy of de- individuals who, for various reasons, may claring judicial emergencies in courts with not otherwise choose to make their retire- vacancies of 18-months18 or longer duration ment plans known in advance, it will be should be continued. necessary to remind judges periodically of the Judicial Conference policy, adopted in 67c Procedures for the temporary as- March 1988, urging advance notification of signment of judges should emphasize the impending retirements from active service 17 importance of providing assistance to or the bench. courts with vacant judgeships. 67b Statistics should be maintained 19 As described earlier in this chapter, concerning the number, length, and im- a flexible, efficient system of bringing judi- pact of judicial vacancies (including data cial resources temporarily to the aid of which relates to judicial emergencies) in overworked courts will be needed to an each court, and benchmarks or timelines ever-increasing extent. In particular, courts should be created for the nomination and operating at less than full strength should confirmation of all judges. The judicial be encouraged to seek assistance of senior branch should publicize all vacancies judges and other volunteer judges from extending beyond these limits, and all courts able to spare them. One useful data on judicial emergencies, to Con- approach might be to dispatch judicial gress and the President by means emergency teams of available district of semi-annual reports. judges, magistrate judges, and support staff to aid understaffed20 districts with overwhelm- It is essential that judicial appointing dockets. ments be viewed as an important task that 67d will be performed expeditiously. The stark Procedures and policies govern- impact of vacancies on each courts ability ing the transaction of court business to function should be documented through should seek to address special circum- the statistical presentations of judicial stances arising as a result of prolonged workload. In addition, reasonable time judicial vacancies. Among other things, frames should exist for completing the rules governing the number of visiting appointment process. A useful approach would be the voluntary acceptance of

18 Id 17 19 . EPORT OF THE ROCEEDINGS OF THE UDICIAL supra R P J 20 See Recommendation 62 . CONFERENCE OF THE UNITED STATES 31-32 (Mar. 1988). See note 12 supra and accompanying text. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 104 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 8 / RESOURCES

or senior judges serving on panels in the Managing Judicial Branch Resources courts of appeals should be held in abey- ance during the existence of vacancies on The governance structure of the fed- a court constituting a judicial emer- eral courts reserves considerable local gency. autonomy to individual courts and their judges. Recently, the decentralization of The individual courts should be management authority has increased. With active in devising means of coping with this trend has come increased accountability long-standing vacancies. Although various and responsiveness to centralized leadership. measures can (and should) be taken at the The trend is consistent with modern man- national or circuit levels, each court should agement theory, which emphasizes the take responsibility for developing emer- efficiency benefits of empowering those gency procedures (including exceptions small units closest to an enterprises core to normal methods of operation, where mission. permissible) to expedite the handling of judicial business when required to operate at Budget decentralization and less than full judge strength. expanded local roles in personnel and procurement have made judges and court For example, applicable law requires administrators increasingly responsible for that a majority of judges on any court of ap- the direction and operations of their units. peals panel be judges of that court. But Planningboth near- and long-termhas22 the same law allows for exceptions if such become even more crucial. In an environ- judges cannot sit because recused or dis- ment of inadequate resources, priorities will qualified, or when the chief judge of that constantly need to be set and reset. Thus court certifies that there is an emergency in- while budget decentralization deals with the limited spending authority over these insuf- cluding, but not limited to, the unavailability21 of a judge of the court because of illness. ficient resources allocated to individual Although the circuits differin local rules, courts, the larger problem of resource allo- decisional law, or practiceon whether cation among the various levels of the senior judges are judges of th[e] court for judicial branch remains. Development and purposes of panel composition, the statute implementation of administrative policies, as clearly empowers a court to deviate from the noted in Chapter 7, might affect the decen- requirement, however defined, if an emer- tralized governance of resource gency arises. The courts of appeals should management. therefore be encouraged to take advantage of all available judicial resources, including senior and visiting judges, when vacancies Budget Decentralization seriously threaten their ability to function ^ effectively. Of course, these emergency RECOMMENDATION 68: To match re- panels should be utilized sparingly given the sponsibility with authority, the budget possible impact on the coherence and consis- tency of circuit law. execution function should be further decentralized so that each court may

22 See, e.g., Henry Mintzberg, The Fall and Rise of Strate- gic Planning ARV US EV ff 21 , 72 H . B . R . (No. 3) 107, 112 . 28 U.S.C. § 46(b) (1988). (1994). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 105 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

control spending of appropriated technology, including data security and due funds to meet its needs. process rights, must be resolved, however, before these changes take effect. Budget decentralization has its roots in the collegiality and local autonomy of the ^ federal courts. In this period of fiscal aus- RECOMMENDATION 69: Use of court- terity, the workability of the model will related technology should be expanded surely be tested. to improve the ability of the federal courts to provide efficient, fair, and Budget decentralization should be comprehensible service to the public. gradual. It should promote institutional cohesiveness and equity through implemen- The federal courts' experience with tation of a central audit function. That technological innovation is explored in function should include spending oversight depth in the Long Range Plan for Automa- and responsibility for the submission of a tion in the Federal Judiciary, a document single budget for the courts. To date, each generated and reviewed by umbrella and step in budget decentralization has been mir- user groups of judges, Administrative Office rored by an increasing sophistication in the officials, court administrators, and support audit trail. This process must continue while staff. It is a well-conceived plan for testing at the same time preserving sufficient local and bringing the best technological innova- flexibility to allow productive differences in tions to the courts. local court cultures. In the future, technology must con- A proposal meriting further consid- tinue to facilitate the work of the courts. eration is to employ a fixed formula in To do so, the approach to its adoption the budget process used to allot a specific must be integrated. A true federal courts number of dollars to a court per case or information management and national com- judgeship so as to produce a more predict- munications network is emerging. For the able form of funding. Judges and staff courts to successfully embrace the techno- would be accordingly stimulated to plan logical future, however, everyone involved more effectively, although courts would still  in court operations not only technically be permitted to establish special funding  needs over and above the formula. expert staff must be capable of identifying how and where new technological tools will improve performance. Technology and Facilities ^ RECOMMENDATION 70: The courts Technology will bring vast change in how people meet, interact, conduct business, must remain current with emerging and resolve their disputes. Growth in com- technologies and how they can be em- munications abilities will change where ployed to improve the administration people work, as well as how they work. of justice generally. While face-to-face meetings may remain the norm in some situations, increasing reliance The concept of the "electronic" or will be placed on electronic media. The "virtual" courthousea system that net- courthouse of the future may not always be a works computers to permit parties to finite physical space. Critical issues about litigation and the court to exchange materi-

als on-line, and to conduct meetings and construction23 through annual appropria- hearings over the network (including use of tions. simultaneous video conferencing) in lieu of the participants assembling at the same lo- ^ cationshould be assessed to determine its RECOMMENDATION 72: To achieve suitability to meet the needs of court users economies of scale, eliminate unnec- and the judiciary. When courts are able to essary duplication, and otherwise im- receive documents electronically from parties already equipped to submit their cases prove administrative efficiency and in this manner, the concept of the "virtual effectiveness, the courts should study courthouse" envisions a court able to alternative methods of organizing and schedule proceedings through visual tele- allocating judicial support functions. communication, with participants at different locations, lessening the need for Efficiency and cost savings are pos- a "physical courthouse." sible through voluntary sharing of such personnel as administrators, clerks, and ^ probation officers, among districts. To ex- RECOMMENDATION 71: The judicial pedite feasible, common sense solutions to branch should maintain a compre- resource needs, unnecessary procedural hensive space and facilities program, barriers should be eliminated. Given the courts commitment to decentralized court giving careful attention to economy in administration and budgeting, local courts a time of austerity. should have the ability freely to allocate their personnel resources. A number of dis- Almost all the federal district and tricts or circuits should be selected to test circuit courts have completed long range more flexible methods of organizing judicial plans for facilities and space requirements. support activities. Such experiments will Working through the Judicial Conference, surely suggest more far-reaching structural the courts should continue to participate changes24 and innovations at the district court actively in needs assessments, and in the level. design, construction and management of space and facilities for judicial officers and ^ court employees. At a time of extreme RECOMMENDATION 73: To refine both budgetary austerity, it is essential that the courts exercise prudence and economy in the operations and policy, the federal design of new facilities. courts should define, structure and, as appropriate, expand their data- Using Conference-approved plan- collection and information-gathering ning and space standards, a long range capacity. facility planning program should be periodically updated. That plan should be the basis for funding requests to Congress for new court and court unit facilities. It should address increasingly the need for and the likely 23 supra 24 See Chapter 7, Implementation Strategy 51a . impact of new technology. The Conference This kind of resource sharing is already permitted in the should adopt a real property capital budget defender services program under the Criminal Justice Act. and pursue alternatives to financing new See 18 U.S.C. § 3006A(g)(1) (1994) (two adjacent districts or parts of districts are authorized to establish a defender organization to serve both areas). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 107 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

Implementation Strategies: scholars and researchers who study the courts. Judicial data collection should 73a To obtain better data for re- include the statistical data and other information needed for planning purposes, e.g., porting, policy-making, and planning data on historical trends and their impact on purposes, the Judicial Conference should the judiciary, and on the demographics of establish a steering group to coordinate court users. However, expansion of judicial and define the process. Members of the data collection should be preceded by care- group should include representatives ful research to determine what precisely is from all primary data sources, judicial needed in order to run the courts fairly and branch users, and outside researchers. efficiently.

73b This steering group should: Clearly, a broad-based inquiry into what data and statistics should be regularly (1) Conduct a data needs assessment collected and how they are used must be that includes but is not limited to: made a high, immediate priority. Personnel courts of appeals, district courts, from all levels and units of the federal court and bankruptcy courts; magistrate system, and others, should participate in judge reporting; Administrative specifying the contours of these data and statistics. The Judicial Conference should Office program reporting; re- support and promote information resources search; budgetary impact analysis; management to meet the information needs and long range planning. of the courts, the public, the bar, and litigants. (2) Inventory and catalog data collection efforts. Utilize recent surveys conducted by Conference commit- The Federal Courts Workforce tees and other organizations. of the Future

(3) Evaluate the ability of current sta- The workforce of the federal courts tistical data holdings to support of the future will be shaped by trends similar planning and policy. to those that have created the workforce of today. The current workforce is larger than (4) Determine how best to collect and ever, reflecting significant workload growth. maintain such data. Determine how It rose in size by more than 90% since 1982, best to organize and manage such from 14,400 to nearly 28,000 in 1994. Most efforts. Determine training re- of the growth has been in supporting per- quirements. sonnel: the number of judicial officers has grown only about 17%. Because the busi- (5) Design the most appropriate single ness before the courts reflects conditions in or coordinated network of data society generally, staffing in probation and bases. pre-trial services, bankruptcy and public defender offices has almost tripled in size in In determining the judiciary's need the past decade. for statistical data and other information, the federal courts should seek input from inter- The federal courts workforce today ested persons outside the system, including is far more diverse than in the past. Since

the early 1980s the number of women in rewards exceptional talent and strong per- professional positions has increased over formance: 170%. Women now hold a majority, about 53%, of the judiciary's professional posi- judicial branch employees must be rec- tions (legal, administrative and technical), ognized and compensated appropriately compared to 1982 when the judiciary's professional workforce was about 36% female. court personnel at all levels should be The entire judiciary workforceincluding used extensively to assist the courts in both professional and clerical personnel administration and policy development, has grown from 63% female in 1982 to 69% and female in 1991. The federal courts have also made substantial gains in minority employ- continuing education must be integrated ment. African-Americans, Latinos, Asians into both the schedule .of the courts and and Native Americans have more than dou- each employee's work bled in number; their percentage in both the total workforce and its professional compo- ^ nent has increased. Latinos represent the RECOMMENDATION 75: The courts greatest number of new minority employees; should improve working conditions their representation in the courts professional workforce has grown by 213% since and arrangements for all court sup- 1982. port personnel.

What does this hold for the future? The courts must be adequately At the very least, the proportion of women staffed to perform all needed functions. and minorities in the federal courts will Working conditions for court support per- continue to increase, particularly in profes- sonnel should be progressive and make sional and technically skilled positions. provision for: family leave, flexible work These jobs now constitute 60% of the fed- arrangements, and ombudsmen to consider eral courts non-judicial positions. concerns and complaints.

^ ^ RECOMMENDATION 76: RECOMMENDATION 74: The courts High-quality should maintain and foster high- continuing education for judges quality judicial support services. should focus on the law, case management, (including use of appropriate The effective operation of court units dispute-resolution processes), and cul- requires highly qualified, well-trained man- tural diversity. agers. The courts and national judicial administration agencies should recruit and Education and training are as impor- retain the best possible professional and tant for maintaining and expanding the skills support staff, and develop their skills as- of the experienced judge as for orienting the siduously. new judge. "Judicial education should not, however, end with orientation or yearly cir- Increasingly, the federal courts will cuit conferences but should25 be a life-long be competing with other employers for edu- process and pursuit." Social, technological, cated, professional, competent workers. To 25 demonstrate that the system supports and REPORT OF THE FEDERAL COURTS STUDY COMMITTEE 170 (1990). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 109 þ LONG RANGE PLAN FOR THE FEDERAL COURTS and demographic changes will require a through adopting a "customer serv- higher level of judicial competence. ice" approach to justice. They should be educated regularly in the use of In the future, large dockets will test court technology. the management abilities of even the best judges. Intensive case management training An emphasis on customer service will be essential. Appropriate dispute reso- and appropriate dispute resolution will lution must be the reality; it will demand create new opportunities for court system judges who are expert and creative in "fit- employees. Technology will free support ting the forum to the fuss." personnel from the crush of paper record keeping for new, important jobs in the To limit inconvenience and down- courts. New labor-saving systems will free time for judges, the Federal Judicial Center staff for work that cannot be performed me- should wherever possible educate judges chanically. via interactive video, computer-generated courtroom simulation, teleconferences, Nonjudicial court personnel should and other innovations. The federal courts continue to be trained as service providers strong tradition of quality judicial education and facilitators. Their primary responsibility should be continued. should continue to be the provision of timely, accurate, and efficient service to all ^ RECOMMENDATION 77: persons having business with the courts, and All federal assisting litigants in reaching the next step in court staff should be trained to ensure resolving their disputes. outstanding service to the public

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RESERVING the core values that trials are held in 44% of criminal cases; have undergirded the federal courts' the median length for criminal trials long tradition of excellence is the fun- reaches 4 days; and 80% of total district damental vision of this plan. By court judge time is consumed by crimi- Pplanning for the future, the courts will be nal trials able to meet with confidence the numerous challenges they face. Still, the courts cannot of the 174,500 criminal cases termi- control the societal trends that have placed nated in the district courts in 2019, the core values at significant risk in recent 37% (47,000) are appealed decades. of the 156,000 appeals terminated this This chapter considers how the year, 107,500 are procedural termina- judicial branch might adapt if caseloads in- tions; only 48,500 are terminated on crease at even half the rate suggested in the the merits "alternative future" discussed in Chapter 3. Suppose, for example, that in the year 2020 10% of merit terminations occur after only 500,000 cases are filed in the district oral argument; the remainder are decided courts or that there are only 336 appellate on submission of briefs judges? Even that scenario is daunting and would have undesirable consequences. slightly more than 20,000 petitions for review on writ of certiorari are received As shown in Chapter 3, projections by the Supreme Court, of which 125, or based on historical trends indicate that, in 0.6% are granted. another 25 years, there would be as many as 1,660 appellate court judgeships and more This plan rejects drastic alternatives than 1,060,000 cases commenced annually as neither desirable nor inevitable. The in district courts. This four-fold increase discussion in this chapter, then, must be over present-day conditions could well reviewed in the limited context of an undesir- sult in the following court statistics in 2020: able alternative future that would require significant changes in federal court struc- median time from filing to disposition ture, jurisdiction, and resources. In sum, for civil cases in the district courts the alternatives presented here should be exceeds 30 months, with 30% of pursued only if the coming decades bring: cases pending more than 3 years great expansion in federal court jurisdiction and caseloads;

substantial growth in the number of A representative but non-exclusive judges and supporting staff at all levels group of statistical signposts might include of the courts; and the following:

sharp increases in the courts' need for total numbers of filings in the courts of new buildings and equipment. appeals and/or district courts number of judicial circuits and corresponding increases in intercircuit case Threshold for Considering Changes law conflicts number of court of appeals judges in an Efforts to streamline the trial and ap- individual circuit and corresponding in- pellate processes should continue to be creases in intracircuit conflicts pursued before major structural change is average number(s) of merits participa- considered. If innovations in court proce- tions per judge in the courts of appeals dures and efforts to control jurisdictional ratio of criminal to civil trials expansion do not stem the rising caseloads, average number of lengthy trials (civil however, more radical changes may be re- and criminal) per court quired to allow the federal courts to carry number and percentage of cases in which out their mission. Moreover, experience trials are not held shows that incremental changes in how the average number of trials (civil and federal courts do business often produce in- criminal) per judge advertent, but fundamental, changes in the average number of criminal filings per quality of federal justice delivered. judge rate at which district1 court judgments are For these reasons, the Judicial Con- reversed on appeal ference should monitor a wide variety of number and percentage of civil cases statistical and other indicators to determine pending over 3 years whether trial and appellate court structures number and percentage of motions remain adequate to meet the stresses of in- pending over 6 months creasing caseload. The Conference should number and percentage of bench trials in consider and evaluate the totality of rele- which a decision has been pending over vant circumstances in gauging the apparent 6 months direction of the judicial system and deter- median disposition times for courts of mining what should be done. The choice appeals and/or district courts of quantitative or qualitative indicators used percentage of district or magistrate judge for this purpose is, to some extent, arbitrary. hours spent on the bench The purpose, however, is not to seek author- average number of defendants per felony case itative harbingers of danger, but rather to study evolving conditions in order to iden- 1 Reversal rates should take into account all published and tify whether the circumstances facing the unpublished decisions in criminal and civil cases, cases judiciary require a fundamental change in presenting issues of first impression, and cases in which the strategy. No single indicator may point to a decision below was affirmed or reversed in part. Above all, the significance of a particular reversal must be evalu- breakdown in the present system. Statistics ated in light of the reasons stated by the appellate court. are only a starting point, not the end, of the See Edward R. Becker, Patrick E. Higginbotham, and Wil- evaluative process. liam K. Slate, II, Why the Numbers Don't Add Up, 73 A.B.A. J. 83 (Oct. 1987) (response to Brian L. Weakland, Judging the Judges, 73 A.B.A. J. 58-60 (June 1987) (discussing federal judges' affirmance and reversal records before the courts of appeals)). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 130 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 10 / CONFRONTING THE ALTERNATIVE FUTURE

number of staff assigned to U.S. Attor- adjunct judicial officers (e.g., appellate neys' offices commissioners), may, however, lead to number of attorneys in active federal inconsistency and incoherence in circuit law. district court practice. Likewise, if the addition of Article III judgeships results in the creation of more circuits, the system's capacity for resolving intercir- Restructuring Appellate Review cuit conflicts must be expanded. Alternative means of resolving intercircuit conflicts If caseload volume renders the courts have been described in the work of the Fed- of appeals unable to complete their tasks eral Courts Study Committee3 and the with dispatch and fairness, the Judicial Federal Judicial Center.

Conference should consider fundamental2 revision of the appellate court structure. If the appellate bench grows sig- There are two basic approaches to restructur- nificantly, realignment of the circuits to pro- ing appellate justice. One method would duce courts of appeals of relatively equal increase the number of judicial officers re- size and workload deserves serious consid- sponsible for adjudicating appeals. The eration. Although the matter would require other method would limit the number of careful consideration, the need to maintain judges required to decide an appeal. These coherent, consistent precedent and adminis- approaches may be outlined as follows: trative efficiency in the face of massive dockets may outweigh countervailing con- (a) Add to the number of judicial officers cerns. in the present courts of appeals by increasing the number of circuit judgeships, or by Alternatively, the circuit-based expanding the role of adjunct judicial offi- courts of appeals could remain at approxi- cers, such as appellate commissioners. mately their present size and number if first- line appellate review were provided in a new (b) Add a new tier of appellate tribunals tier of appellate tribunals established at an between the district and the circuit courts, intermediate level between the districts and and provide for discretionary review in the the circuit. If this approach were taken, the circuit courts. "circuit" courts would be in a position to maintain a relatively consistent and coherent (c) Assign certain appellate functions to body of circuit law through discretionary district judges through an "appellate term" review of decisions rendered in the lower or "appellate division" at the district level. appellate courts.

(d) Reduce the size of appellate panels to Another method to expand the sys- two judges and/or allow single judges to tem's capacity for appellate review would be

review certain cases. an "appellate term"4 or "appellate division" at the district level. These panels would exist Simply expanding the number of cir- 3 cuit judges, and/or expanding the role of Id.; REPORT OF THE FEDERAL COURTS STUDY COMMITTEE 125-30 (1990). 4 2 The idea of some appellate review being located at the For a detailed discussion of various options, see JUDITH district court level is not new. See Roscoe Pound, AP- A. MCKENNA, STRUCTURAL AND OTHER ALTERNATIVES PELLATE PROCEDURE IN CIVIL CASES 390 (1941); Louis H. FOR THE FEDERAL COURTS OF APPEALSREPORT TO THE Pollak, Amici Curiae, 56 U. CHI. L. REV. 811, 825-826 UNITED STATES CONGRESS AND THE JUDICIAL CONFERENCE (1989) (book review). Moreover, Roscoe Pound's proposal OF THE UNITED STATES 105-39 (Federal Judicial Center also would limit litigants in such a forum to the arguments 1993). already made in the trial court. See Letter The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 131 þ LONG RANGE PLAN FOR THE FEDERAL COURTS primarily to ensure correction of errors and peals, rising caseloads may require reducing screen legal issues for possible review in the the size of appellate panels to two judges, court of appeals. Two elements would be or allowing for single-judge review of some key to implementing such a system. First, cases. Experiments with single-judge re- district judges should not review cases aris- view might be conducted in cases that ing out of their own districts. Second, if involve single issues and deferential stan- current caseload conditions persist, the dards of review, i.e., "abuse of discretion" number of district judges and/or magistrate by the district court, or "substantial evi- judges would have to be expanded signifi- dence" to support an agency order. cantly to carry out both trial and appellate Alternatively, courts organized on a geo- functions. Since creation of additional dis- graphic basis might move toward greater trict judgeships is not a desirable method to specialization by routinely assigning indi- address a workload crisis at the appellate vidual judges or panels to handle particular level, appellate panels should not be drawn subject areas. Creating new courts with from areas where district judges routinely more limited subject-matter jurisdiction carry a maximum trial-level caseload. also might be considered.

A district-level appellate panel might consist of one circuit judge and two district Limiting the Right to Appeal judges, perhaps from outside the circuit. District judges sitting on review panels Fundamental restructuring of the ap- could be assigned for substantial terms (e.g., pellate function is one possible approach to three years) to give them time to gain expe- a dramatic increase in the appellate work- rience in their new role and to staff their load. It would likely require a reevaluation chambers accordingly. Further review of the principle that each litigant is guaran- would be in the discretion of the courts of teed at least one appeal as of right before a appeals on petition, unless the first appellate panel of three Article III judges. Thus, if panel certified the case, or some portion of conditions seriously deteriorate in the courts it, for review. The program would be insti- of appeals, it may be necessary to consider tuted first on a pilot basis and, perhaps, some limitations on the right to appeal. The limited to certain categories of cases (e.g., right to appeal could be eliminated com- diversity actions, social security disability pletely in certain types of cases, such as claims). After assessing the results of the administrative cases in which the district pilot program, jurisdiction of appellate court acts as the reviewer of agency action panels might be expanded to additional and certain types of "federal question" cases categories of cases, or even to all matters in which state law issues predominate. In all originating in the district courts. (or some) other cases appellate review could be discretionary. Finally, the appellate system could also address rising caseloads by limiting the These options should be pursued number of appellate judges required to de- only as a last resort. It does not presently cide an appeal. Although the judiciary is appear that the stress on the courts of currently committed to the principle of appeals is serious enough to justify abandon- three-judge review as the standard for ap- ing the statutory right to appeal in all case types. Except for certain agency cases and diversity actions, this plan does not identify from Professor Paul D. Carrington to the Honorable Ed- discrete case types whose elimination from ward R. Becker 2 (Nov. 3, 1993). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 132 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 10 / CONFRONTING THE ALTERNATIVE FUTURE

the appellate docket (while retaining district judicial resources. Although a system of court jurisdiction) would be fair and work- mandatory assignments may not be appro- able, yet provide substantial caseload relief. priate for Article III judges, incentives should be used to allow courts to make Discretionary review also could have greater and more effective use of visiting the unintended effect of increasing the judges, and to encourage judges to be avail- burden on district judges to provide more able for temporary assignment. Another, written support for decisions made at the more debatable, solution might be a system trial level. It would pose difficulties in en- of floating assignments based on judge- suring, and appearing to ensure, that all ships not permanently tied to a particular classes of litigants are treated fairly and are court, or rotation of judges between a per-

not cut off from the protections of the appel- manent duty station and an extended 6 period late process by virtue of their status. of temporary duty in various courts.

Outright elimination of appellate re- Assuming that any constitutional view should be considered only for cases in questions could be resolved, magistrate which the "law declaration" function of ap- judges and bankruptcy judges could be pellate review is not at stake. Examples of assigned, as needed, to conduct a wider va- such cases might include some administra- riety of district court proceedings with the tive cases involving district court review of consent of the parties. For example, magis-

agency action, and5 cases raising primarily trate judges might expand on their current state law issues. role in conducting civil and non-felony criminal proceedings by playing a greater part in felony prosecutions, including the Making Best Use of Trial Court conduct of trials and/or sentencing. Simi- Resources larly, bankruptcy judges might be assigned cases on the regular district court docket (e.g., complex commercial actions) in A drastic increase in the workload of which their background and experience the district courts would require significant would be particularly relevant. changes in the use of judicial resources. Such changes may include the following: The Standing Committee on Rules of (a) Require judges to be more readily Practice and Procedure should also reexam- available for temporary assignment. ine Federal Rule of Civil Procedure 53 to evaluate how support for judges in the dis- (b) Authorize adjunct judicial officers of trict court might be expanded through the the district courts (i.e., magistrate judges and bankruptcy judges) to conduct a wider 6 variety of proceedings. Federal judges have nearly always been drawn from, and identified with, the region or locality in which they serve. Use of "floater" judgeships, even on a limited basis, would A vastly expanded caseload will re- constitute a departure from tradition that may be unacceptable, either on political or other grounds. The only quire the maximum utilization of existing previous experiment of this kindthe Commerce Court early in this centurywas unsuccessful. It would be diffi- 5 cult to find qualified individuals who are willing to assume This plan also contains recommendations concerning the and remain in this kind of "roving" assignment. Rather possibility of making appellate review discretionary in than attempt to recruit new judges permanently for such some types of administrative agency cases. See Chapter 4, positions, it might be more feasible to authorize the Chief Recommendation 9, and Chapter 5, Recommendation 20 Justice to assign existing judges to "floater" service for supra. limited periods (e.g., 18 months to two years). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 133 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

greater use of special masters or other ad- the management7 and conduct of cases that junct officers. proceed to trial.

Diverting the Civil Caseload Limiting Jurisdiction

If the increase in civil cases causes If caseload volume renders the courts excessive delay in obtaining trial dates, of appeals and district courts unable to de- the district courts could employ a broad liver timely, well-reasoned decisions and range of alternative dispute resolution speedy trials with procedural fairness, the techniquespossibly including mandatory Judicial Conference could consider seeking processes. If such a situation comes about, more extensive reductions in federal court the Judicial Conference should seek leg- jurisdiction to fulfill the mission of the fed- islation or otherwise adopt appropriate eral courts, as listed below: measures to: (a) Restore a minimum amount-in- Encourage each federal court to expand the controversy requirement for federal question scope and availability of alternative meth- cases, either generally or in specific cate- ods of dispute resolution. gories.

Over the past decade the increase in (b) Eliminate or substantially curtail the civil causes of action in federal courts, the jurisdiction of the district court in those continuing federalization of many criminal categories of cases that may be appropri- offenses, implementation of sentencing ately resolved in federal administrative or guidelines, and other factors have made it state forums. more difficult for civil litigants to receive early and firm trial dates. Accordingly, in (c) Establish additional jurisdictional re- addition to reducing the time and costs of quirements, based on the nature and scope trials, each federal court should be able to of the controversy, for litigating in federal provide its litigants expanded alternative court particular matters in which state methods of dispute resolution. courts have concurrent jurisdiction.

The availability of such alternative Restriction of federal jurisdiction is procedures would often allow litigants to a step that should not be easily taken and, in resolve their disputes in a more efficient, practice, is likely to be taken only as a last expeditious and cost-effective manner. resort. Nevertheless, it may become neces- Along with allowing litigants to choose sary to restrict access to the courts to the the dispute resolution procedure most ap- extent constitutionally permissible (i.e., limit propriate to their cases, the provision of review to constitutional issues) so that the alternative procedures would conserve the limited resources of the federal courts may judiciary's unique and precious resource be applied to those disputes that, under the the trial, whether bench or juryfor those disputes in which it is most needed. The 7 diversion of disputes from a traditional trial It should be emphasized that traditional case management process to other methods of resolution will and trial procedures have been, and are, working well. Those procedures best preserve the core values undergird- enable judges to concentrate on improving ing the federal courts' long tradition of excellence. This chapter, however, is concerned with problems that may arise in the future. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 134 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 10 / CONFRONTING THE ALTERNATIVE FUTURE

principles of judicial federalism (see Chap- numbers of judges and supporting staff ter 4 supra), ought to be resolved in that members at all levels of court organization. forum. The extent of this growth could also require greatly increased use of adjunct judicial of- In addition to restoration of a mini- ficers and technologically different ways of mum amount-in-controversy requirement doing business. Growth of this magnitude for federal question cases, federal court ju- might be accompanied by a relative reduc- risdiction could be curtailed in cases tion in resource allocation from Congress. appropriately resolved in Article I tribunals, The historically adequate resource base af- administrative agencies, or state courts. forded federal courts has been due in large Examples of such case categories include part to the court system's modest size. social security benefit claims, contract claims, benefit claims under ERISA welfare Under these conditions, structural plans, forfeiture proceedings, and cases pri- changes in the courts' adjudicative frame- e.g. marily involving state 8law issues ( , many work would likely be required. For FIRREA proceedings, products liability, example, hard choices would have to be and ordinary tort claims). Finally, notions made among of comity might support enactment of additional criteria relating to the nature and (a) increasing the number of circuits while scope of the controversy for invoking fed- keeping each circuit relatively small (e.g., eral court jurisdiction in cases where 9 no larger than any current circuit); or concurrent state court jurisdiction exists. (b) keeping the numbers of circuits small while allowing each circuit to grow to con- Maintaining Effective Governance tain more than 100 active circuit judges and several times that many district judges; or If federal court caseloads and the at- tendant need for judicial resources (c) abandoning altogether the concept of dramatically increase, governance of an ex- regional circuits in favor of subject matter panded judicial system should emphasize courts and traveling judges, perhaps serving (1) provision of administrative coordination in both trial and appellate capacities; or and direction, and (2) preservation of a broadly participatory governance process (d) reconsidering the membership of the encouraging expression of diverse perspec- Judicial Conference to account for more tives. circuits and the role of small specialized courts. Changes in governance might be required if the three branches are unable to None of these alternatives is attrac- avoid a great expansion in federal court ju- tive from the viewpoint of protecting the risdiction and caseloads. These increases best features of current court governance might require substantial growth in the arrangements. Thus, they should not be tak- 8 Financial Institutions Reform, Recovery, and Enforce- en as desirable alternativesonly as what ment Act of 1989, Pub. L. No. 101-73, 103 Stat. 183, as may be the best among a series of bad amended. 9 choices. On the other hand, it bears empha- If this approach were followed, the implementing legislation would have to be drafted carefully to avoid sis that governance is merely instrumental. creating satellite litigation that merely replaces one Governance structures should not dictate workload burden for another. Objective criteria must be court jurisdiction or structure. developed and applied so that courts do not decide subjectively which cases are litigated in a federal forum. The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 135 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

(e) Governance authority should increas- require a fundamental change in governance ingly be grounded in procedural rules and arrangements. It would not be possible to safeguards because an increased comple- manage the courts as a part-time job. If ment of Article III judges could know only a judges are to remain as the courts' gover- small fraction of their colleagues well, if at nors, some of them might have to take on all. full-time management responsibilities from time to time, and the idea of a "chancellor" Effective participation of a reason- or "executive judge" to assume some of the able proportion of judges in governance Chief Justice's national leadership10 respon- might only be accomplished through some sibilities could be revisited. form of enhanced representational structures and procedures. There would be inevitable (g) The judicial branch should protect the pressures to create democratic (electoral) core decisional independence of judges in a procedures for the selection of governance vastly expanded administrative infrastruc- representatives at national, regional, and lo- ture supporting the operation of chambers, cal levels. These pressures would arise from courtrooms, and judicial activities. competition for ever-scarcer resources to perform court work. Because judges could A greatly expanded federal court know only a small fraction of their col- system could function efficiently only with a leagues well, if at all, governance authority similar expansion of the courts' administra- grounded on personal acquaintance and trust tive apparatus. Such an expansion should be would probably be replaced with authority accomplished, however, without any loss grounded on hierarchy, procedural rules, and of judicial autonomy with respect to the ba- safeguards. sic separation of powers among the three branches. In fact, if the judiciary were to It is likely that judicial branch inter- gain control of its own space, facilities, and est groups would become further stratified security programs, and retrieve from the by category of judge (circuit, district, executive branch the administration of bank- bankruptcy, magistrate, active, senior, or ruptcy estates, as recommended above, the whatever other groups emerged through courts would become a substantial admin- structural change, e.g., national or local, istrative entity within the government permanent or floating) as well as by region- generally. al and local court units. The larger the judiciary becomes, the more formalized, im- It seems likely, however, that such personal, and bureaucratic the governance an expanded federal court system would apparatus will become. be under increased congressional scrutiny through authorizations, appropriations, (f) Some judges should take on full-time and oversight. The executive branch also management responsibilities, if judges are to would be tempted to seek greater authority remain as the courts' governors. to monitor judicial branch operations in the name of government-wide economy. Within It is inconceivable that a judiciary of the judicial branch itself, establishment of 3,000 to 5,000 or more life-tenured judges strong, centralized administration might could function with the same degree of col- impinge on judicial independence if the new legiality in administrative decision making 10 as is now possible. Although some increase Cf. RUSSELL R. WHEELER & GORDON BERMANT, in executive authority would be necessary, FEDERAL COURT GOVERNANCE 47-62 (Federal Judicial Center 1994) (discussing the idea of an "executive judge" the major changes contemplated here would for the federal courts). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 136 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 10 / CONFRONTING THE ALTERNATIVE FUTURE

administrators seek to impose uniformity in honor the principle that regional and local the timing and form of judges' decisions. matters should be decided at regional and local levels. This principle assumes the pro- Even without increased oversight, cedures for establishing representative there would be some risk of erosion of the governance are fair, and are perceived to be independence of the individual judge's ad- fair, by judges generally. In that scenario, ministrative decision making. Although an appropriate balance of authority among regional and local administrative structures court levels can be sustained, even though it might vitiate some of the dangers of a vastly will differ from the current balance. But increased central support structure, changes there may be a need for greater executive instituted at either the national or regional authority nationally, as well as regionally, level certainly would affect ongoing local just by virtue of the greater numbers of court operations. Resource demands made people whose performance must be moni- by a judiciary of even 3,000 life-tenured tored and whose needs and legitimate judges would likely strain the capacity of the interests must be met. judicial support structure to provide the type of personalized services judges currently The accurate, reliable and efficient receive. Greater standardization and less channeling of input about governance ques- room for exceptions to administrative rules tions will have to be established within each would probably flow from the combination level of governance and between them. This of large numbers and relatively reduced re- will require more governance "apparatus," sources. Under these circumstances, the which will create new overhead costs. judiciary will face a major challenge in protecting the core decisional independence of Even as a vast expansion in the ju- judges from those responsible for managing diciary will encourage a thrust toward the equipment, supplies, and reimburse- increased centralization, it will also promote ments that constitute the administrative countervailing pressure for assigning more infrastructure of chambers, courtrooms, and regional governance authority to the cir- judicial activities generally. cuitsif the regional circuit structure survives such growth. Circuits as large as (h) The allocation of policy making today's entire federal appellate bench may and administrative authority should be ree- present powerful arguments for substantial valuated. If substantial reallocation of reallocation of authority to the circuit level, governance authority becomes necessary, including direct authority to seek and obli- the alternatives to be considered should in- gate appropriations (rather than only clude delegated authority to expend appropriated money). (1) concentrating authority in fewer hands at all levels, Appointing Article III Judges (2) centralizing authority at the national level, and If judicial vacancies cannot be filled expeditiously, disabling the judiciary and (3) decentralizing authority to regional or leaving no other viable remedy, the political local levels. branches may have to consider alternative methods for appointing Article III judges Even in a greatly expanded judiciary, that otherwise would be unacceptable (even national governance institutions should

The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 137 þ LONG RANGE PLAN FOR THE FEDERAL COURTS if constitutional revision is required). For identify and review potential or actual example: nominees. By focusing solely on the end result, a mechanism that eliminates either (a) The President and the Senate might the President or the Senate from the ap- each be authorized to act alone in filling pointment process in the event of delay judgeships that remain vacant due to inac- might serve only indirectly to expedite the tion by the other branch in nominating or necessary staff work. Thus, rather than fa- confirming new judges. For example cilitate a desirable outcome, this approach might simply encourage hasty, ill-consid- (1) judicial nominations might be con- ered action by both parties. firmed automatically, or recess appointments continued in effect Legislation that reallocates the power until vacancies are filled, if the Senate to appoint Article III judges raises serious fails to act on nominations within a constitutional concerns. Like other federal prescribed time; and officers, judges must be appointed in accordance with the "Appointments Clause" (U.S. (2) the Senate might appoint judges sua Const. art. II, § 2, cl. 2) which authorizes the sponte if the President fails to submit President to "nominate, and by and with the a nomination (or make a recess ap- Advice and Consent of the Senate, . . . appointment) within a prescribed period point Ambassadors, other public Ministers after a vacancy arises. and Consuls, Judges of the supreme Court, and all other Officers of the United States, This alternative is premised on the whose Appointments are not herein other- likelihood that the present judicial appoint- wise provided for, and which shall be ment process would be overwhelmed by the established by Law." Although that clause massive increase in the size of the federal also permits Congress to vest the appoint- judiciary anticipated by some forecasts. If ment of "inferior" officers "in the President that process cannot continue to function, the alone, in the Courts of Law, or in the Heads need to consider an approach of the kind of Departments," the legislative branch can- discussed here would be clear. not reserve to itself the power to11 appoint "officers of the United States." Therefore, This approach would put "teeth" in no statute can authorize the Senate to act on any statutory time limits imposed on the its own initiative in making judicial ap- President and the Senate with regard to pointments. making judicial appointments. It not only might provide impetus for more efficient The constitutional issue does not procedures but also encourage resolution of end there. Although the matter has never political disputes that postpone nominee se- been adjudicated, a persuasive argument can lection and confirmation proceedings. This be made that Article III12 judges are "prin- approach may, of course, create additional cipal" (not "inferior") officers whom the problems in the appointment process. 11 Buckley v. Valeo, 424 U.S. 1, 132-33 (1976). As de- Although delays sometimes occur fined by the Supreme Court, "officers of the United States" in obtaining presidential decisions or in include "any appointee exercising significant authority Id pursuant12 to the laws of the United States." . at 126. scheduling Senate committee or floor action, Admittedly, circuit, district and Court of International much of the delay in filling judicial vacan- Trade judges sit on "inferior courts" established by Con- cies arises at the preliminary stages in which gress under Article III, Section 1 of the Constitution. See Morrison v. Olson, 487 U.S. 654, 719-20 (1988) (Scalia, J., executive and legislative branch staff dissenting) (the Constitution's use of "inferior" in that The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 138 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. þ CHAPTER 10 / CONFRONTING THE ALTERNATIVE FUTURE

President13 must nominate and the Senate Like the preceding option, a measure confirm. If so, any statute purporting to that allows the courts to fill judicial va- authorize presidential appointment of judges cancies would encourage the other two without Senate confirmation (or appoint- branches to act more promptly in nominat- ment by any officer or authority other than ing and confirming judges. Although it is the President) would be invalid under the unlikely that either the President or the

Appointments14 Clause absent a constitutional Senate would relinquish the power to amendment. appoint judges, they might find it more ac- ceptable to grant courts the authority to (b) The Judicial Conference (or individual make interim appointments, particularly if courts) might designate temporary judges to such authority is reserved for filling vacan- exercise Article III jurisdiction whenever cies in exigent circumstances. An analogy circuit or district judgeships remain vacant to that approach is the procedure by which beyond a prescribed time and the affected district courts may appoint a person to serve court demonstrates an urgent need for addi- as United States Attorney until a vacancy in tional judge power that cannot be met that 15position is filled in the ordinary man- otherwise through existing resources. ner. The key difference, of course, is that executive branch officials do not have constitutionally protected tenure. context "plainly connotes a relationship of subordination"). But "from the early days of the Republic '[t]he practical construction has uniformly been that [judges of the inferior As a means of ensuring that judicial courts] are not . . . inferior officers.'" Weiss v. United vacancies are filled, though, the utility of States, 114 S. Ct. 752, 768 n.7 (1994) (Souter, J., concur- ring) (citing 3 JOSEPH STORY, COMMENTARIES ON THE this solution is uncertain. A court seeking to CONSTITUTION 456 n.1 (1833)). Indeed, the Supreme appoint a judge to serve on a permanent or Court's recent interpretation of the Appointments Clause interim basis would require the same if not suggests that an "inferior officer" must be "to some degree 'inferior' in rank and authority," have power to "perform a greater amount of time to identify and only certain, limited duties," hold an office "limited in ju- screen possible candidates. Although some risdiction," and enjoy "limited . . . tenure"attributes not time might be saved if persons already easily reconciled with the independent status and broad authority of circuit, district and Court of International serving as non-life tenured judges were ap- Trade judges. See Morrison, 487 U.S. at 671-72 pointed, an FBI background investigation (upholding court appointment of "independent counsels" might still be required,16 at least to update the 13under the Ethics in Government Act). An exception to this rule applies in the context of information on file. To avoid the need for "recess" appointments under article II, section 2, clause 3. a full background investigation, a court or On two occasions, courts of appeals have upheld the his- other judicial branch authority could either torical practice of using the recess appointment power to fill judicial vacancies pending the completion of Senate assign a bankruptcy judge or magistrate action on the President's nominations. See United States v. judge to sit temporarily on the affected Woodley, 751 F.2d 1008 (9th Cir. 1985) (en banc), cert. court, or appoint a special master to conduct denied, 475 U.S. 1048 (1986); United States v. Allocco, 305 F.2d 704 (2d Cir. 1962), cert. denied, 371 U.S. 964 specified proceedings. The fundamental

(1963).14 problem with either method would be the A different question might be presented by a policy judicial officer's limited tenure and unpro- under which judicial nominations are deemed confirmed without formal action if the Senate fails to act on them tected compensationfactors that, under within a prescribed time period. Since each House of Con- gress possesses broad authority to "determine the Rules of its Proceedings" (U.S. CONST. art. I, § 5, cl. 2), it seems plausible that the Senate might adopt a rule (or consent to 15 legislation) that either makes confirmation "automatic" or 16 See 28 U.S.C. § 546(d) (1988). accords a nomination priority over all other business (thus See, e.g., Granfinanciera, S.A. v. Nordberg, 492 U.S. 33 requiring some kind of action) if the Senate does not con- (1989); CFTC v. Schor, 478 U.S. 833 (1986); Northern firm or reject a judicial nominee within a certain time after Pipeline Const. Co. v. Marathon Pipe Line Co., 458 U.S. his or her name is received. 50 (1982). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. 139 þ LONG RANGE PLAN FOR THE FEDERAL COURTS

existing law, could preclude exercise of Conclusion full Article III jurisdiction. This chapter has focused on alterna- Again, the idea of an alternative or tives that should be confronted if the less "backup" mechanism for making judicial fundamental changes outlined in this plan appointments presents difficult constitu- prove inadequate to allow the courts to meet tional questions. Legislation that shifts the the stresses of an increasing caseload. These power of appointing judges to a court or are strategies that must be considered if the other judicial branch authority would pose courts are to be prepared for the future, but the same issue of whether a life-tenured Ar- they should be pursued only if essential to ticle III judge can be an "inferior officer" maintaining a viable judicial system. The within the meaning of the Appointments premise of this plan is that rapid and drastic Clause. In addition, the Article III require- change in the federal court system is neither ments of "good behavior" tenure and desirable nor necessary today. Nonetheless, undiminished compensation preclude Con- it is prudent to identify possible alternatives i.e. gress from authorizing interim ( 17 , limited- should the plan's vision not be achieved. term) appointments to the bench.

17 U.S. CONST. art. III, § 1. Although recess appointments to the bench (see note 13 supra) are limited in duration, they are based on express constitutional language. See United States v. Woodley, 751 F.2d at 1014 ("We must therefore view the recess appointee . . . as the extraordinary exception to the prescriptions of article III."). The Judicial Conference of the United States has approved the recommendations and implementation strategies in this Long Range Plan to guide future administrative action and policy development by the Conference and other judicial branch authorities. All other text in this Plan, including commentary on 140 individual recommendations and strategies, explains and supplements the approved items but does not necessarily reflect the views of the Conference. &KDSWHU ,PSOHPHQWDWLRQ DQG)XWXUH3ODQQLQJ

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Members of the Committee 1984. In 1988 Judge Barker was elected to the United States Judicial Conference for a Otto R. Skopil, Jr. of Portland, Oregon, has three year term, She served as a member of served on the United States Court of Ap- the Executive Committee from 1988 until peals for the Ninth Circuit since 1979, 1991 and was a member of the Committee taking senior status in 1986. Previously, he on Rules of Practice and Procedure from had served as a United States District Judge 1987 until 1991. In 1991, she served on the for the District of Oregon, 1972-1979 (Chief Ad Hoc Committee to Study the Relation- Judge, 1976-1979). He is a graduate of ship between the Federal Judicial Center and Willamette University and its law school. the Administrative Office. Judge Barker He served on the Board of the Federal Judi- joined the Committee on Long Range Plan- cial Center in 1979. Judge Skopil was a ning in 1991. member of the Judicial Conference Commit- tee on the Administration of the Federal Edward R. Becker of Philadelphia, Penn- Magistrates System, 1977-1987, and was sylvania, has been a United States Circuit Chairman, 1980-1987. He was also a mem- Judge for the Third Circuit since 1981. ber of the Ad Hoc Committee on Judicial Prior to his appointment to the appellate Review Provisions in Regulatory Reform bench, Judge Becker served as a United Legislation, 1981-1984. Since its creation in States District Judge for the Eastern District 1990, Judge Skopil has served as the Chair- of Pennsylvania from 1970-1981. He man of the Committee on Long Range graduated from the University of Pennsyl- Planning. vania and the Yale Law School. From 1975- 1976, Judge Becker was a member of the Sarah Evans Barker of Indianapolis, Indi- advisory committee for the Federal Judicial ana, has served as a United States District Center's District Court Studies Project. Judge for the Southern District of Indiana From 1979-1987, he served as a member of since 1984 and as its Chief Judge since the former Committee on the Administration January 1994. She is a graduate of Indiana of the Probation System. From 1985 to University and the American University 1990, he served on the FJC Committee to College of Law. Prior to her coming to the Advise on Education Programs on the Crime bench, she was United States Attorney for Control Legislation. In 1987, Judge Becker the Southern District of Indiana from 1981- became Chairman of the restructured

Committee on Criminal Law and Probation Appeals at Kansas City, 1957-1965. He Administration. From 1985 to 1990, he served on the Committee on Court Admini- served on the FJC Committee on Sentenc- stration, 1969-1987 (appointed Chairman in ing, Probation and Pretrial Services. In 1978); and served as Chairman of its Sub- 1991, he joined the Board of the FJC. Judge committee on Judicial Improvements, 1976- Becker has served on the Committee on 1978. He was also a member of the Ad Hoc Long Range Planning since its inception in Committee on Judicial Review Provisions in 1990. Regulatory Reform Legislation, 1981-1984; and the Ad Hoc Committee on the Media Wilfred Feinberg of New York, New York, Petition ("Cameras in the Courtroom"), was appointed United States Circuit Judge for 1983-1984. In 1990, Judge Hunter joined the Second Circuit in 1966. He served as the Committee on Long Range Planning. Chief Judge from 1980 through 1988, taking senior status in 1991. He had previously James Lawrence King of Miami, Florida, served as United States District Judge for the was appointed United States District Judge Southern District of New York from 1961- for the Southern District of Florida in 1970 1966. He is a graduate of Columbia College and served as Chief Judge from 1984-1991. and Columbia Law School. Judge Feinberg He took senior status in 1992. He is a was a member of the United States Judicial graduate of the University of Florida and its Conference from 1980 until 1988; he was law school. Before joining the federal Chairman of the Executive Committee from bench, Judge King was a Circuit Judge, 1987-88. He has also served on the Advi- Eleventh Judicial Circuit of Florida, 1964- sory Committee on Civil Rules, 1965-1970; 1970 and a member of the Board of Regents the Subcommittee on Supporting Personnel, of Florida, 1963-1964. He served 1969-71; the Subcommittee on Judicial on the Advisory Committee on Judicial Ac- Statistics, 1971-76; the Federal Judicial tivities, 1973-1976; the Committee on Center's Advisory Committee on Experi- Standards for Admission of Attorneys to mentation in the Law; the Committee to Federal Practice, 1976-1979; and the Ad Study Law Clerks Selection Process, 1982- Hoc Advisory Committee on the Adminis- 1985; the Ad Hoc Committee on Judgeship trative Office, 1985. He was Chairman of Vacancies, 1982; and the Committee to the Implementation Committee on Admis- Study the Judicial Conference, 1986-1987. sion of Attorneys to Federal Practice from Since 1990 he has served on the Committee 1979-1985. He was a member of the Judi- on Long Range Planning. cial Conference of the United States from 1984 through 1987 and a member of the Ju- Elmo B. Hunter of Kansas City, Missouri, dicial Council of the Eleventh Circuit, 1989- has served as a United States District Judge 1992. Judge King has been a member of the for the Western District of Missouri since Committee on Long Range Planning since 1965; he served as Chief Judge in 1980 its creation in 1990. until he took senior status at the end of that year. He is a graduate of the University of Virginia M. Morgan of Detroit, Michigan, Missouri and its law school, and has done has served as a United States Magistrate post graduate work at the University of Judge for the Eastern District of Michigan Michigan. Prior to joining the federal since 1985. She is a graduate of the Uni- bench, Judge Hunter was Circuit Judge for versity of Michigan, the University of the 16th Judicial Circuit, State of Missouri, Toledo College of Law and has done gradu- 1952-1957; and Appellate Judge, Court of ate work at the University of San Diego.

She was an Assistant United States Attorney Staff from 1979-1985. Judge Morgan has served on the Advisory Group of Magistrate Judges Peter G. McCabe, Assistant Director for since 1988. In 1991 she joined the Commit- Judges Programs, Administrative Office of tee on Long Range Planning. the United States Courts. A.B., Columbia College; J.D., Harvard University A. Thomas Small of Raleigh, North Caro- lina, has been a United States Bankruptcy Jeffrey A. Hennemuth, Chief, Long Range Judge for the Eastern District of North Planning Office (Senior Attorney, 1993-95), Carolina since 1982. He has served as Chief Administrative Office of the United States Judge since 1992. He is a graduate of Duke Courts. B.A., Baldwin-Wallace College; University and Wake Forest University J.D., Ohio State University School of Law. Judge Small has served on the Committee on Long Range Planning Richard B. Hoffman, Senior Planning since 1991. Counsel, Long Range Planning Office, Administrative Office of the United States Harlington Wood, Jr. of Springfield, Illi- Courts, 1992-95. B.S., Cornell University; nois, has served as a United States Circuit J.D., Harvard University; Fellow, Institute Judge for the Seventh Circuit since 1976. for Court Management Formerly, he was a United States District Judge for the Southern District of Illinois, William M. Lucianovic, Senior Planning 1973-1976. He is a graduate of the Uni- Advisor, Long Range Planning Office, versity of Illinois and its law school. He Administrative Office of the United States served as United States Attorney for the Courts. A.B., University of Rochester; Southern District of Illinois, 1958-1961; M.A. & Ph.D., Case Western Reserve Uni- Associate Deputy Attorney General, 1969- versity 1972; and Assistant Attorney General, 1972- 1973. Judge Wood was a member of the William T. Rule, II, Economist & Econo- Committee on Bankruptcy Legislation, metrician, Long Range Planning Office, 1978-1979; he served on the Advisory Administrative Office of the United States Committee on Judicial Activities, 1978- Courts. B.A., Macalester College; Ph.D., 1979; the Committee on Court Administra- Virginia Polytechnic Institute & State Uni- tion, 1981-1987; the Ad Hoc Committee versity on the Media Petition ("Cameras in the Courtroom"), 1983-1984; and the Ad Hoc Robert P. Deyling, Attorney-Advisor, Long Committee on Automation, 1983. From Range Planning Office, Administrative Of- 1987 until 1991, Judge Wood served as fice of the United States Courts. Judicial Chairman of the Committee on the Admin- Fellow, Administrative Office of the United istrative Office. He joined the Committee States Courts, 1994-95. B.A., Stanford Uni- on Long Range Planning in 1990. versity; J.D., New York University

Charles W. Nihan, Chief, Long Range Planning Office, Administrative Office of the United States Courts, 1991-94. B.A., University of Massachusetts; M.A., Harvard University; M.S., The American University; J.D., Georgetown University

Maurice Rosenberg, Harold R. Medina Consultants Professor of Procedural Jurisprudence, Co- lumbia University School of Law. A.B., Syracuse University; LL.B., Columbia Uni- Robb M. Jones, Director of the Judicial versity; LL.D., University of Vermont Education Division, Federal Judicial Cen- ter; Administrative Assistant to the Chief Wendy S. Pachter, Long Range Planning Justice, United States Supreme Court, 1991- Attorney, Planning & Technology Division, 94. A.B., Grove City College; M.A. & J.D., Federal Judicial Center, 1992-95. B.A., University of Virginia McGill University; Ph.D., University of Vermont; J.D., Columbia University Thomas M. Mengler, Dean & Professor of Law, University of Illinois College of Law. Russell R. Wheeler, Deputy Director, B.A., Carlton College; M.A. & J.D., Uni- Federal Judicial Center. B.A., Augustana versity of Texas College; M.A. & Ph.D., University of Chi- cago Gordon Bermant, Director of the Planning & Technology Division, Federal Judicial Center. A.B., University of California at Los Angeles; M.A. & Ph.D., Harvard Uni- versity; J.D., George Mason University

Harvey Rishikof, Administrative Assistant to the Chief Justice, United States Supreme Court; Tom C. Clark Judicial Fellow, Administrative Office of the United States Courts, 1993-94. B.A., McGill University; M.A., Brandeis University; J.D., New York University

Thomas C. Carter, Law Clerk to the Hon- orable Otto R. Skopil, Jr., United States Court of Appeals for the Ninth Circuit. B.S., University of Missouri; J.D., Univer- sity of Oregon

Jeffrey Jackson, Professor of Law, Missis- sippi College School of Law; Tom C. Clark Judicial Fellow & Research Analyst, Long Range Planning Office, Administrative Of- fice of the United States Courts, 1991-93. B.A., Haverford College; J.D., University of Pittsburgh

Stephen P. Johnson, Court planner, writer, editor. B.A., University of Pennsylvania; J.D., University of Virginia

Contributors: Individuals

Eleanor D. Acheson, Esq. Professor Daniel J. Bussel Honorable William M. Acker, Jr. Honorable Wm. Matthew Byrne, Jr. Honorable Louise DeCarl Adler Honorable José A. Cabranes Beth A. Alpert, Esq. Honorable Edward N. Cahn James K. Archibald, Esq. Professor Emily Calhoun Honorable Richard S. Arnold Honorable Levin H. Campbell Nan Aron, Esq. Denise A. Cardman, Esq. Ms. Rita Arrington Honorable Thomas E. Carlson Honorable Donald C. Ashmanskas Professor Paul Carrington Scott J. Atlas, Esq. Ralph C. Cavanagh, Esq. Donald B. Ayer, Esq. Nancy Chang, Esq. Roxanna Bacon, Esq. Professor Erwin Chemerinsky W. Reece Bader, Esq. Benjamin R. Civiletti, Esq. Mr. Thomas J. Bak Honorable Leif M. Clark Professor Thomas E. Baker Honorable Howell Cobb Honorable William J. Bauer Ronald J. Cohen, Esq. Elizabeth B. Bazan, Esq Honorable Avern Cohn John M. Beal, Esq. William T. Coleman, Jr., Esq. Robert T. Berendt, Esq. Honorable Robert B. Collings Honorable Harold Berger Roxanne Barton Conlin, Esq. Honorable John W. Bissell Mr. David L. Cook Terree Bowers, Esq. Michael A. Cooper, Esq. Honorable Pasco M. Bowman II Jack Corinblit, Esq. Mark W. Braswell, Esq. Miles C. Cortez, Jr., Esq. Jerome Braun, Esq. Honorable John C. Coughenour Honorable Stephen Breyer Gene Crescenzi, Esq. Brad D. Brian, Esq Talbot D'Alemberte, Esq. Steven A. Brick, Esq. Frederick J. Daley, Esq. Honorable Charles L. Brieant, Jr. Peter W. Davis, Esq. Steven Brill, Esq. Jarett B. Decker, Esq. Honorable D. Brock Hornby Mr. Ralph DeLoach Honorable Vincent L. Broderick Honorable Gustave Diamond Robert F. Brown, Esq Donald L. Dotson, Esq. Honorable James R. Browning Dennis J. Drasco, Esq. David R. Bryant, Esq. Samuel J. Dubbin, Esq. Honorable Samuel L. Bufford Lee Smalley Edmon, Esq.

Mr. David L. Edwards Mr. E.B. Grebenstein, Jr. Honorable G. Thomas Eisele Mark Greenberg, Esq. Mr. Ross Eisenman Marcia D. Greenberger, Esq. Ford Elsaesser, Esq. Robert A. Greenfield, Esq. Rudy A. Englund, Esq. Hayden W. Gregory, Esq. Honorable Sam J. Ervin, III Honorable Thomas F. Griesa Robert D. Evans, Esq. Honorable Joseph R. Grodin Honorable Benson Everett Legg Robert Haberman, Esq. Andrew M. Federhar, Esq. Joan M. Hall, Esq. Frederick L. Feinstein, Esq. Karen M. Hanchett, Esq. Nathan B. Feinstein, Esq. Professor Milton Handler Honorable Lisa Hill Fenning Herbert J. Hansell, Esq. Fred Fielding, Esq. Daniel J. Harrigan, Esq. Carol H. Fines, Esq. Honorable Orrin Hatch Professor Owen Fiss Michael D. Hawkins, Esq. Collins T. Fitzpatrick, Esq. Dale Hayes, Esq. Mr. Steven Flanders Susan Hayes, Esq. Mr. Homer C. Floyd Honorable Carol E. Heckman Adrian M. Foley, Jr., Esq. Professor Arthur D. Hellman Honorable J. Owen Forrester Thomas A. Henderson, Esq. Lawrence J. Fox, Esq. Antonia Hernandez, Esq. John P. Frank, Esq. Honorable John G. Heyburn II George H. Fraser, Esq. Honorable Patrick E. Higginbotham Kenneth C. Frazier, Esq. Honorable Irving Hill Burton D. Fretz, Esq. Honorable Douglas W. Hillman Professor Leon Friedman Thomas C. Hnatowski, Esq. Susan M. Gaddy, Esq. William G. Hoerger, Esq. Kevin R. Gallagher, Esq. Edward B. Hoffman, Esq. Barry H. Garfinkel, Esq. Honorable James A. Horn Honorable Lloyd D. George Ellis J. Horvitz, Esq. Marcy Goldblum, Esq. Honorable David W. Houston, III Gerald H. Goldstein, Esq. Professor J. Woodford Howard, Jr. Mr. John R. Golmant Seth M. Hufstedler, Esq. Jimmy K. Goodman, Esq. Shirley M. Hufstedler, Esq. Honorable Susan P. Graber Honorable Procter R. Hug, Jr. Honorable John F. Grady Mr. John M. Hughes Mr. John M. Greacen Lee Ann Huntington, Esq.

Wendy Jennis, Esq. Edward P. Leibensperger, Esq. Ms. Magdeline E. Jensen Mr. Gregory J. Leonard Arthur C. Johnson, Esq. Eileen M. Letts, Esq. Honorable Nathaniel R. Jones Honorable Pierre N. Leval Robert L. Jones, III, Esq. Barry Levenstam, Esq. Gregory P. Joseph, Esq. Nathan Lewin, Esq. Andrew J. Kahn, Esq. Joanne Lewis, Esq. Miriam Kass, Esq. Lee S. Liberman, Esq. Laura A. Kaster, Esq. Roberta D. Liebenberg, Esq. Professor Robert A. Katzmann Professor Carol B. Liebman Honorable Robert E. Keeton Michael Lightfoot, Esq. William L. Keller, Esq. Sara D. Lipscomb, Esq. Donald Kempf, Esq. Harry P. Litman, Esq. Honorable William J. Keys Professsor Rory K. Little Loren Kieve, Esq. Honorable James K. Logan Mr. Kenneth R. Kimbrough Sherman V. Lohn, Esq. Michael Kimerer, Esq. Edwin J. Lopez-Soto, Esq. Professor Lawrence P. King Honorable John W. Lungstrum Honorable Carolyn D. King Barbara M.G. Lynn, Esq. Honorable William A. Knox Ms. Marlene A. Maddalone Honorable Charles P. Kocoras Edward W. Madeira, Jr., Esq. Jan L. Kodner, Esq. Dr. A. Fletcher Mangum Richard Kohn, Esq. Honorable Paul Mannes Janet S. Kole, Esq. Honorable Stanley Marcus Edward I. Koren, Esq. Mr. Emerson Markham Professor Larry Kramer John W. Martin, Jr., Esq. Karen M. Kremer, Esq. Abel J. Mattos, Esq. Philip A. Lacovara, Esq. Philip J. Mause, Esq. Honorable Thomas D. Lambros Professor Gary M. Maveal Louise A. LaMothe, Esq. Ms. Cathy A. McCarthy Honorable Kathryn Landreth Thomas J. McDermott, Esq. Professor Stephan Landsman Honorable Frank J. McGarr Peter S. Latham, Esq. George F. McGunnigle, Esq. Donna H. Lee, Esq. Honorable Monroe G. McKay Douglas A. Lee, Esq. Dr. Judith A. McKenna Mr. Clarence A. Lee, Jr. M. Margaret McKeown, Esq. Robert E. Lehrer, Esq. Richard McMillan, Jr., Esq.

Barry F. McNeill, Esq. Honorable S. Jay Plager Professor Daniel J. Meador L. Steven Platt, Esq. Honorable L. Ralph Mecham Richard W. Pogue, Esq. Honorable Gilbert S. Merritt Honorable Sam C. Pointer, Jr. Jane Michaels, Esq. Honorable Henry A. Politz Honorable Paul R. Michel Michael A. Pope, Esq. Judith A. Miller, Esq. Honorable Richard A. Posner Christine Milliken, Esq. Honorable Philip M. Pro Robert B. Millner, Esq. Professor Doris Marie Provine Ms. Diane K. Minnich John K. Rabiej, Esq. Professor Paul J. Mishkin Mr. Stephen J. Rackmill Mark S. Miskovsky, Esq. Honorable Randall R. Rader Paul W. Mollica, Esq. Arthur N. Read, Esq. Janice R. Morgan, Esq. Patricia Lee Refo, Esq. John Morland, Esq. Honorable Stephen Reinhardt Alan Morrison, Esq. Honorable Charles B. Renfrew Sean Moylan, Esq. Professor Judith Resnik Michael J. Mueller, Esq. Dean Lauren Robel Molly Munger, Esq. Charles Robert, Esq. Honorable John A. Mutter Honorable Aubrey E. Robinson, Jr. Honorable John F. Nangle Honorable Eduardo C. Robreno Honorable David A. Nelson Curt N. Rodin, Esq. Honorable Jon O. Newman Ms. Thomasina V. Rogers Honorable Eugene H. Nickerson John A. Rogovin, Esq. Honorable Helen W. Nies Steven O. Rosen, Esq. Honorable Donald P. OConnell Mark D. Rosenbaum, Esq. Honorable William C. O'Kelley Mr. Elliot H. Rosenberg Honorable Diarmuid F. O'Scannlain Marc Rosenblum, Esq. Honorable Louis F. Oberdorfer Professor Thomas D. Rowe, Jr. Ronald L. Olson, Esq. Leonard S. Rubenstein, Esq. Honorable Owen M. Panner Honorable Vanessa Ruiz Honorable Robert M. Parker Honorable Barefoot Sanders Thomas E. Patton, Esq. Ms. Elena Ruth Sassower Honorable John G. Penn Honorable Mary M. Schroeder Honorable Ellen A. Peters John L. Schwabe, Esq. Honorable Trudy Huskamp Peterson Honorable William W Schwarzer Honorable James D. Phillips, Jr. Dr. Steven R. Schlesinger

Honorable Morey L. Sear Honorable Jeffrey Tureck Thomas C. Seawell, Esq. Professor Gerald F. Uelmen Honorable Ila Jeanne Sensenich Dr. Gere Unger Norman Sepenuk, Esq. Honorable Bruce M. Van Sickle Honorable Randall T. Shepard Honorable Patricia M. Wald Christine Sherry, Esq. Honorable John M. Walker, Jr. Karen K. Siegel, Esq. Honorable J. Clifford Wallace William K. Slate, Esq. H. Scott Wallace, Esq. Honorable Dolores K. Sloviter Mr. Patrick Walker Honorable Loren A. Smith Mr. Gregory B. Walters Alan D. Smith, Esq. Honorable J.Q. Warnick, Jr. Gerald K. Smith, Esq. Professor Stephen L. Wasby Ms. Stephanie Smith Ronald F. Waterman, Esq. Mr. Kent Snapp Honorable Rodney S. Webb Jerold S. Solovy, Esq. David C. Weiner, Esq. Joseph A. Sonneman, Esq. Honorable Jack B. Weinstein Neil R. Sonnett, Esq. Honorable Joseph F. Weis, Jr. Honorable Arthur D. Spatt Honorable Harry W. Wellford Mr. David F. Spinelli H. Thomas Wells, Jr., Esq. Robert D. St. Vrain, Esq. Professor Marianne Wesson Larry S. Stewart, Esq. Professor Jay L. Westbrook Mr. David R. Stickman Joe R. Whatley, Jr., Esq. Honorable Alicemarie H. Stotler Ms. Catherine J. Whitaker Jim Strain, Esq. Robert L. Wiggins, Jr., Esq. Paul Strauss, Esq. Honorable Ann C. Williams Stephen D. Susman, Esq. Honorable Richard L. Williams Francis F. Szczebak, Esq. Honorable Alfred L. Wilson Honorable Deanell Reece Tacha Cynthia A. Wilson, Esq. Fredric C. Tausend, Esq. Lively M. Wilson, Esq. Steven M. Tevlowitz, Esq. Honorable William R. Wilson, Jr. W. Neill Thomas, III, Esq. Lee Winston, Esq. Honorable Gerald B. Tjoflat Carolyn B. Witherspoon, Esq. C. Steven Tomashefsky, Esq. Richard A. Wolff, Esq. Honorable Philip W. Tone Honorable Charles R. Wolle Ms. Linda Tosti-Lane Mr. Donald E. Womack Joanne L. Tosti-Vasey, Ph.D. Honorable Henry Woods Michael Traynor, Esq. Mr. Don Wortman

Honorable William G. Young Contributors: Organizations Frances K. Zemans, Esq. Mr. Markus B. Zimmer American Bar Association Litigation Section, Subcommittee on Rules Enabling Act Paul A. Zingg, Esq. Honorable Rya W. Zobel Academy of Rail Labor Attorneys

Norman E. Zoller, Esq. Administrative Conference of the United States Robert T. Zung, Esq. Age Discrimination Victims Reparations Registry

Alliance for Justice

American Arbitration Association

American Bankruptcy Institute

American Bar Association

American Civil Liberties Union

American Civil Liberties Union Foundation

American College of Trial Lawyers

American Judges Association

American Judicature Society

American Lawyer Media, L.P.

Arkansas Bar Association

Association of the Bar of the City of New York, Committee on Legal Issues Affecting People with Disabilities

Association of the Bar of the City of New York, Special Committee on Alternative Dispute Resolution

Association of Trial Lawyers of America

California Rural Legal Assistance, Inc.

California State Bar, Litigation Section, Federal Practice Committee

Case Advocacy Network

Center for Judicial Accountability, Inc. Los Angeles County Bar Association Litigation Section Chicago Bar Association, Social Security Law Committee Los Angeles County Bar Association Commercial Law and Bankruptcy Chicago Council of Lawyers Section, Bankruptcy Committee

Chicago Lawyers' Committee for Civil Rights Maryland Advisory Council for Individuals with Under Law, Inc. Disabilities

Committee on Social Security Law Mexican American Legal Defense and Educational Fund Conference of Chief Justices Migrant Legal Action Program Consortium for Citizens with Disabilities, Rights Task Force National Asian Pacific American Bar Association Council for Court Excellence National Association of Attorneys General D.C. Bar Association/Litigation Committee National Association of Criminal Defense Disability Advocacy Program of Western New Lawyers York National Bankruptcy Conference Farmworkers Support Committee National Center for Law & Learning Disabilities Federal Administrative Law Judges Conference National Employment Lawyers Association Federal Bar Association National Legal Aid and Defender Association Federal Bar Association, Los Angeles Chapter National Senior Citizens Law Center Federal Judges Association Pennsylvania Human Relations Commission Federal Magistrate Judges Association Pro Se Law Clerks & Staff Attorneys Federal Public Defenders and Community Association Defenders Public Buildings Service, General Services Idaho State Bar Administration

Illinois Trial Lawyers Association Public Citizen Litigation Group

Lawyer Representative Coordinating The Governance Institute Committee, Ninth Circuit Judicial Conference The Legal Aid Society Lawyers for Civil Justice

Lawyers' Committee for Civil Rights Under Law

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