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ORGANIZATION AND FUNCTION OF THE COURTS AND THE CLERK'S OFFICE
A. The Federal Judicial System
The United States Court system consists of a Supreme Court of the United States
located in Washington, D.C., eleven Circuit Courts of Appeals located in various
regions around the country, a Temporary Emergency Court of Appeals, the United
States Court of Appeals for the Federal Circuit, the United States Court of
International Trade, the United States Bankruptcy Courts, and 94 District Courts.
The Supreme Court was established by the Constitution. All the other courts were
created by Congress based upon authority granted by the Constitution
(Article I, Sec. 8(9)).
The United States and its territories are divided into judicial districts, each with its
own district court. The geographical territory of each district, the divisions within
the district and the places holding court within the division are described in detail in
Chapter 5 of Title 28 U.S.C. The United States and its territories are also broken down into eleven judicial
circuits, with a Circuit Court of Appeals in each. The smallest geographical circuit is that of the District of Columbia. All other circuits consist of at least three states.
The Constitution provides that the United States judges are to be appointed by the
President "with the advice and consent of the Senate" (Art. II, Sec. 2). The judges'
appointments are for life and their compensation "shall not be diminished during
their continuance in office" (Art. III Sec. 1).
The three types of courts, District, Circuit, and Supreme, form a three-tiered
structure with appeals flowing from the District Court to the Circuit Court of Appeals
as a matter of right, in most instances. However, appeal cannot automatically be
taken from a decision of a Circuit Court of Appeals to the Supreme Court. Anyone
wishing to appeal to the Supreme Court must file a petition for a Writ of certiorari
with the Supreme Court. If the Writ is issued, the Supreme Court accepts the
appeal and will rule on it. If the Writ is not issued, then the decision of the Circuit
Court of Appeals stands.
The trial court of the system is the District Court. The cases over which it has
jurisdiction fall into two main categories: civil, including admiralty and general
maritime law, and criminal. On October 1, 1979, the Bankruptcy Court became
semi-autonomous in that bankruptcy cases then began to be filed directly with the
Bankruptcy Court, instead of through the District Court. Bankruptcy judges are
appointed by the President with the advice and consent of the Senate, for 14 year
terms.
The overall administration of the courts is the responsibility of the Judicial
Conference of the United States (28 U.S.C. Sec. 331). The Conference is
comprised of the Chief Justice of the United States Supreme Court, the Chief
Judge of each Circuit Court, the Chief Judge of the Court of Appeals for the
Federal Circuit, and a district judge from each District Court. It generally meets
twice a year, in March and September. The Conference has permanent
committees responsible for reporting to the full Conference on various aspects of
the business of the courts, and ad hoc committees to deal with specific issues
affecting the federal courts.
In addition to the Judicial Conference of the United States, each circuit holds its
own annual judicial conference at which matters relating to the circuit are taken up
(28 U.S.C. Sec. 333).
The main staff organization of the Judicial Conference of the United States is the
Administrative Office of the United States Court, currently headed by Director L.
Ralph Meecham and located in Washington, D.C. The director acts under the
supervision of the Judicial Conference (28 U.S.C., Sec. 604). The director is
responsible for administrative matters relating to Clerk's Offices, for establishing
compensation levels for the various personnel in the court system, for collecting
and publishing statistics, and for other administrative matters affecting the courts.
The federal courts also have a research and development arm, the Federal
Judicial Center ("FJC"), established in 1967. The FJC, located in Washington,
D.C., is responsible for carrying out programs and developing methods to increase
the administrative effectiveness of court personnel (28 U.S.C. Sec. 620). The FJC
conducts seminars on a regular basis for judges, Clerks of Court, probation
officers, and other court personnel.
B. The Mission and Function of a U.S. District Court Clerk's Office
1. Mission
The mission of the Clerk's Office is to render effective and courteous service to the
following groups: (1) the judges and magistrate judges, and their staffs; (2) the
Bar; (3) the
public, including litigants and jurors; (4) related government agencies; and (5) other courts.
2. Clerk's Office Goals
The Clerk's Office serves as the hub of the court's business and channels the flow
of litigation to the court for resolution. As the administrative arm of the court, the
Clerk's Office strives for the fair and efficient administration of the law to assure
"justice to individuals in individual cases." The goal of the Clerk's Office is to be a
positive and imaginative force in the execution of the administrative and
operational procedures which effectively and economically manage the court's
responsibilities.
3. Responsibilities
a. The Clerk must perform all of the statutory duties required of his office (28
U.S.C. Sec. 751) b. The Clerk should manage the administrative activities of his office, and should be capable of managing all other non-judicial administrative activities delegated to him. In carrying out these
responsibilities, the Clerk uses modern management principles and techniques, adjusting them to the needs of his court. This approach is especially appropriate when managing the flow of litigation through scheduling
and calendar control. It is also applied to space management, records management, forms control, fiscal and accounting controls, and the
procurement of services and supplies.
c. The Clerk should assist the court in maintaining liaisons with other federal and
state courts and with such organizations as U.S. Probation Office, U.S. Pretrial
Services, the U.S. Attorney's Office, the U.S. Marshal's Office, public defender
organizations, bar associations, civic groups, and other public and private entities
having reasonable interest in the court's administration.
d. The Clerk should serve the court in a staff capacity by conducting special
studies, compiling statistical data, and providing such other information as required
for the effective management of the court.
e. The Clerk should regularly provide the court with timely, accurate, and
comprehensive data showing the status of the court's calendar. This may include
making periodic analyses of special areas such as juror utilization or case filing
categories and making appropriate recommendations.
f. The Clerk should establish a comprehensive career development program for
deputy clerks. It should include developing procedures for recruiting, implementing
training programs to enhance in-service skills, cross-training, giving performance
appraisals, recognizing employee accomplishments, and promoting court
personnel.
4. Functions
To achieve its mission and carry out its responsibilities, the Clerk's Office must
perform a variety of functions. A comprehensive, but not all-inclusive list of such
functions follows:
a. Processing Litigation
(i) assign and allot cases under a prescribed plan;
(ii) prepare and maintain case files;
(iii) maintain the official court docket for each case;
(iv) create and maintain party name indices for civil, criminal, and
miscellaneous matters;
(v) perform quasi-judicial functions including taxation of costs,
entry of defaults, preparation and entry of judgments;
(vi) calendaring and scheduling (includes scheduling of hearings, conferences, trials,
etc., and notifying parties of all scheduled events);
(vii) analyze case status reports and identify apparent problem areas;
(viii) terminate cases for lack of prosecution (if such authority is
delegated to the Clerk by local rule);
(ix) provide and coordinate courtroom services to each judge
including personnel, space, and equipment;
(x) when directed by the court, review prisoner petitions for civil
rights violations, habeas corpus petitions, reduction of sentences,
and related correspondence and make recommendations to the court through a
legally trained pro se writ clerk or staff law clerk;
(xi) perform fiscal functions related to all cases;
(xii) provide notice of entry of orders and decisions;
(xiii) conform orders;
(xiv) provide copies of documents (and collect fees when required)
and certify or exemplify same as requested;
(xv) provide access to case files and dockets;
(xvi) provide information about search of matters on file by telephone,
letter, or certificate;
(xvii) process wages and effects of deceased seamen or seamen who
have deserted;
(xviii) coordinate the transfer of cases;
(xix) issue summonses, subpoenas, and jury summonses;
(xx) issue writs;
(xxi) register foreign judgments;
(xxii) prepare records on appeal; and
(xxiii) coordinate the processing of appeals.
b. Statistical Reporting
(i) prepare periodic reports showing number of cases assigned to, transferred
from, terminated by, and pending before each judge;
(ii) prepare reports showing trends in the volume and nature of cases
filed in the district and in the subject division of the district;
(iii) prepare juror utilization reports that provide feedback to judges and their staffs;
(iv) prepare statistical reports on case filings and terminations; and
(v) prepare statistical reports on fiscal operations. c. Office Services
(i) provide orientation to new Clerk's Office employees;
(ii) provide payroll information;
(iii) recommend new equipment and procedures;
(iv) serve as liaison with chambers on matters involving space and furnishings;
(v) serve as secretary to court at periodic conferences;
(vi) provide reproduction, distribution , and messenger services; and
(vii) maintain and account for inventory of non-consumable furnishing
and equipment. d. Other Services
(i) provide assistance to the
court in the development and implementation of Jury Selection Plan,
Rule 50(b)- Speedy Trial Plan,
and Criminal Justice Act (CJA) Plan;
(ii) coordinate the drafting of new or revised local rules or
standing orders;
(iii) provide support to visiting judges;
(iv) participate in pilot projects designed to improve the administration
of justice;
(v) provide services associated with bar admissions and attorney
disciplinary actions;
(vi) conduct tours for student and civic organizations, upon request;
(vii) provide services and facilities to public and private agencies,
as required;
(viii) provide services for immigration and naturalization ceremonies;
(ix) maintain system for tracking court reporters' notes and tapes;
(x) orient new jurors and manage daily juror pool; and
(xi) participate in short and long-range planning to meet the
changing needs of the court.
C. The Eastern District of New York
1. Geography
The Eastern District of New York is one of the most populous judicial districts in the
nation. More than 7,400,000 people live within its five counties: Kings, Queens,
Richmond, Nassau, and Suffolk. The court serves as a major port of entry and
naturalizes as many new American citizens as any other court in the country.
2. Courthouse
The main courthouse located at 225 Cadman Plaza East in Brooklyn, New York
was completed in the 1964. The Clerk's Office is located on the ground-floor. The
U.S. Marshal's Office is on the basement level. The press room is located on the
second floor and the court reporters are on the third floor. The court library is on
the fourth floor. Courtrooms and judicial chambers are located on the second,
third, fourth, and sixth floors. The U.S. Attorney's Office is at 271 Cadman Plaza East.
Currently, a major addition to the existing courthouse is being built. The new
seventeen-story courthouse, scheduled to be completed in the new millennium, will
provide ample space for courtrooms, judicial chambers, the Clerk's Office, and
other administrative and agency offices.
3. Divisional Offices
In addition to the facilities in Brooklyn, the Eastern District holds court in Uniondale,
New York at 2 Uniondale Avenue, and in Hauppauge, New York at 300 Rabro
Drive. Four district judges, one circuit judge, three magistrate judges, and a fully
operational Clerk's Office are located in Uniondale. There are two district judges,
one magistrate judge, and a fully operational Clerk's Office in our Hauppauge
office. A new courthouse in Central Islip is currently under construction. Upon
completion, both offices will merge personnel and operations.
4. District Court Executive
The Eastern District of New York is one of several large district courts that have
been authorized to appoint a District Court Executive to serve as Chief
Administrative Officer of the court under the supervision and direction of the Chief
Judge. The District Executive is in charge of space and facilities, oversees all new
building construction, and serves as the district's EEO officer.
5. Clerk of Court
The Clerk manages many of the non-judicial administrative activities of the court
and functions as the Court Administrative Officer for the Clerk's Office. The Clerk is
responsible for preparation of the court budget, procurement of services and
supplies, data collection, application of computer technology, calendar
management, providing the administrative services required by the district judges
and magistrate judges, and serving as a liaison with other government agencies
and the public.
6. Chief Deputy Clerk
The Chief Deputy Clerk is responsible for coordinating and administering court
activities in the Clerk's absence. Under the general direction of the Clerk, the Chief
Deputy Clerk develops and recommends procedures to carry out the policies
established by the Clerk of Court; evaluates procedures and recommends
changes in policy and services; monitors the activities of the divisional offices;
reviews the performance of all personnel and recommends promotions; and, taxes
costs in civil actions.
7. Deputy-in-Charge of Divisional Offices
The Deputy-in-Charge of divisional offices assists the Clerk and Chief Deputy by
managing a divisional Clerk's Office which provides a full range of services to the
court and the public. The Deputy-in-Charge is responsible for the daily operations
of the divisional offices, supervises assigned personnel, and acts as a liaison with
the main office.
8. Operations Manager
The Operations Manager assists the Clerk and the Chief Deputy Clerk in the
administration and management of the Clerk's Office by serving as the supervisor
for employees in the courtroom services division of the Clerk's Office. The section
includes docket clerks, appeals clerks, courtroom deputies, magistrate clerical
assistants, the statistics clerk, and arbitration clerks. The Operations Manager, is
assisted by the Assistant Operations Manager, the Docket Clerk Supervisor, and
the Docket Clerk Workleader.
9. Administrative Manager
The Administrative Manager assists the Clerk and the Chief Deputy Clerk in the
administration and management of the Clerk's Office by serving as the supervisor
for employees in the following sections: intake, files, naturalization, jury, financial,
procurement, supplies, and messenger services. The Administrative Manager is
assisted by an Assistant Administrative Manager.
10. Pro Se Clerk and Pro Se Writ Clerk
The Pro Se Clerk is responsible for drafting final judgments in civil cases; noting
defaults and entering default judgments; reviewing orders to show cause;
answering all prisoner and pro se litigant mail; reviewing all pro se complaints and
motions; and assisting pro se applicants seeking to file various actions. While the
Pro Se Office is located within the Clerk's Office, technically, the Pro Se Clerk is a
member of the Chief Judge's staff.
The Pro Se Writ Clerk assists the Pro Se Clerk and is responsible for administering
the Pro Bono Panel and assigning pro bono attorneys as required by the court.
11. Secretarial Positions
The four secretarial positions in the Clerk's Office are: secretary to the Clerk of
Court, Secretary to the Chief Deputy Clerk, Secretary to the Pro Se Office, and the
Swing/ Pool Secretary for secretarial
reinforcement assistance to the judges and magistrate judges.
12. Staff Court Interpreters
A supervisor and four staff interpreters, certified by the Administrative Office in
Spanish/English interpreting and translation skills, and a clerical assistant provide
the court with all its interpreting requirements. These responsibilities include
scheduling per diem interpreters and preparing interpreter vouchers for payment.
13. Personnel Officer
The Personnel Officer acts as a liaison between the employees of the courts and
the Human Resources Division of the Administrative Office of the United States
Courts. Personnel responsibilities include recruitment, counseling, payroll,
coordinating insurance policies, and maintaining employee personnel files and
leave records. The Personnel Officer also prepares the District's annual EEO
Report for the Administrative Office. The Personnel Officer works with the
Personnel Assistant.
14. Training Specialist
The Training Specialist assesses the training needs of the Clerk's Office and
designs and implements training programs to meet those needs. In addition, the
Training Specialist conducts orientation for new employees, coordinates the
employee rewards and incentives program, writes and updates training manuals,
and edits the monthly newsletter.
15. Systems Manager
The Systems Manager is responsible for the implementation, maintenance and
expansion of the automated systems used in the District. The Systems Manager
serves as the primary liaison with the Administrative Office on all matters relating to
automation. The Systems Manager works with the Assistant Systems Manager, the
ICMS/CFS Administrator, the PC Administrator and four other automated Systems
Specialists.
16. Financial Unit
The Financial Unit is responsible for the receipt, custody, deposit, and
disbursement of monies received by the Clerk of Court as revenue or as ordered
by the court. In addition, it disburses funds for authorized expenditures made on
behalf of the court. Records and reports concerning those fiscal transactions are
maintained by the financial office on the automated Court Financial System (CFS).
The financial deputy clerks work under the supervision of the Financial
Administrator.
17. Jury Section
The Jury Section is responsible for developing and maintaining a pool of persons
qualified to serve as grand and petit jurors in the Eastern District, and for
summoning these individuals from time to time to serve. The jury section is also
responsible for preparing the vouchers and documentation required to reimburse
jurors for their services, and for maintaining a record of these payments on an
automated system in conjunction with the CFS. The Jury Administrator supervises
these deputy clerks. She is also responsible for monitoring jury utilization and
making recommendations regarding this and other jury matters, to the Clerk of
Court. There is a grand jury clerk who handles all transactions with citizens who
serve on grand juries.
18. Property and Procurement Office
The Property and Procurement Office is responsible for ordering, receiving and
maintaining inventories of all supplies, equipment, furniture, and books. The
Property and Procurement Office is responsible for securing authorization for all
repairs, rentals, and purchases, and for preparing vouchers for payment for
services rendered.
19. Naturalization Section
The naturalization deputy clerks perform all clerical work associated with the
immigration and naturalization process. These functions include recording petitions
for naturalizations and issuing certificates of naturalization to persons who are
admitted for citizenship by the court. The Clerk's Office schedules and coordinates
the naturalization ceremonies which are held before an Eastern District judge.
20. Statistics Clerk
The Statistics Clerk is responsible for compiling statistics for various reports which
are transmitted to the Administrative Office on a monthly basis. In addition, she
also compiles and distributes various in-house reports on the number of criminal
and civil cases filed, closed, with motions pending over six-months, reassigned,
sealed, and over three-years old, figures which are especially helpful to the district
judges and magistrate judges. The statistics clerk also opens all civil cases and
reassigns all criminal and civil cases when necessary.
21. Courtroom Deputies (Case Managers)
Courtroom deputies are supervised by the Operations Manager. They are
responsible for all matters relating to courtroom administration and proceedings,
especially case management of their assigned judge's caseload, but may be asked
to assist in the general work of the Clerk's Office when not engaged in courtroom
duties. Their in-court functions include marking exhibits, administering oaths, filing
documents, and calling the court to order before the judge enters the courtroom. In
addition, the courtroom deputy is responsible for maintaining the judge's calendar,
scheduling all hearings and trials, and contacting attorneys. Above all, the
courtroom deputy's job is to ensure that each of his or her judge's cases is kept
moving to disposition.
22. Magistrate Judge Courtroom Clerical
The magistrate clerical performs courtroom deputy functions for his or her
assigned magistrate judge. He or she is responsible for scheduling hearings,
keeping statistical reports, assisting the magistrate judge on criminal duty, and
docketing all magistrate judge proceedings.
23. Intake Clerks
Deputy clerks assigned to the intake section accept all documents filed with the
court, and route them to various sections of the office for processing. All new
actions accepted for filing at the intake section are assigned docket numbers and
judges. In addition, deputy clerks answer correspondence, fill requests for copies
of documents, respond to inquiries by the public at the counter and over the
telephone, and process new attorneys for practice in the Eastern District.
24. Docket Clerks
Docket clerks make all entries into the official record of each case; maintain the
civil and criminal docket in conformity with Rule 79 of the Federal Rules of Civil
Procedure and with the Federal Rules of Criminal Procedure.; make all summary
entries on the automated ICMS docket system; and, assist in the preparation of
statistical reports.
25. Alternate Dispute Resolution (ADR) Administrator
The ADR Administrator coordinates the settling of cases through mediation and
arbitration. He is responsible for contacting the attorneys in cases which have
been recommended for ADR, for processing all the paperwork involved in ADR
cases, and
for maintaining statistical reports on civil cases referred to arbitration.
26. Appeals Clerk
The Appeals Clerk dockets notices of appeal in civil and criminal cases and
coordinates the transmittal of Records on Appeal to the Second Circuit Court of
Appeals.
27. File Clerk
Deputy clerks in the file section keep in order, and upon request present for
inspection to the public, the thousands of records and documents received by the
court every year. In addition, they maintain accurate records of archived cases and
keep logs of subpoenaed records.
28. Court Reporters and Electronic Sound Recording (ESR)Operators
Court reporters take a verbatim, typed record of all court proceedings, which are in
turn transcribed into written transcripts. ESR operators record all court
proceedings electronically, an alternative method of recording court proceedings
which some judges have come to prefer over the traditional court reporting
method. Original transcripts of all court proceedings are filed with the Clerk of
Court as a matter of record.
D. The Court Family
In the course of your duties with the Clerk's Office, you will have contact with the
following members of the court family:
1. District Judges
There are fifteen active judges and five senior judges assigned to this district.
Federal district judges, appointed by the President with the advice and consent of
the Senate, have life tenure and can only be removed from office by impeachment.
Each judge has his or her own personal staff which usually consists of a secretary
and two law clerks. A judge's calendar is the group of open and pending cases that
are assigned to him or her as a result of the random assignment which is made by
the Clerk's Office when a case is filed. The number of cases and types of cases
assigned to a given judge is similar to the number and type assigned to other
judges.
2. Magistrate Judges
There are twelve magistrate judges in the Eastern District of New York, each of
whom serves an eight-year term. The magistrate judges assist the district judges
with case disposition. They can try any civil case pending in the district court and
may enter judgment upon designation of a district court judge and consent of the
litigants. The criminal trial jurisdiction of magistrate judges covers all
misdemeanors. Other matters handled by magistrate judges include search and
arrest warrants, summonses, bail proceedings, arraignments, prisoner petitions,
evidentiary hearings, and pretrial motions and conferences.
3. U.S. Attorney's Office
The U.S. Attorney's Office prosecutes persons accused of committing violations of
the laws of the United States, appears on behalf of various federal officials where
cases are filed against them while acting in an official capacity, initiates
proceedings for the collection of fines relating to revenue law, and takes such
action the U.S. Attorney General directs. The U.S. Attorney's Office is located at
One Pierrepont Plaza, across the park from the Brooklyn courthouse.
4. Probation Office
The Probation Office supervises defendants to see that they meet the terms of
their probation and prepares pre-sentence investigation reports on defendants
about to be sentenced by the court. The Probation Office oversees individuals on
supervised parole and on probation, providing them with informal family, emotional,
and employment counseling.
5. Pretrial Services
Virtually all defendants arrested in the district are interviewed by Pretrial Services
Officers. Pretrial Services then conducts bail investigations for judges and
supervises defendants released to the agency's care to assure their appearance
in court and to protect the public.
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