Presented by: The Honorable Bernice B. Donald U.S. Court of Appeals for the Sixth Circuit Discussion on Strengthening the Courts & Improving the Fair Administration

Presented by:Presented by:The Honorable Bernice B. DonaldThe Honorable Bernice B. Donald

U.S. Court of Appeals for the Sixth U.S. Court of Appeals for the Sixth CircuitCircuit

Discussion on Discussion on Strengthening the Courts & Strengthening the Courts &

Improving the Fair Improving the Fair Administration of JusticeAdministration of Justice

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In the United States, there are two judicial In the United States, there are two judicial systems: 1) systems: 1) federalfederal and 2) and 2) statestate..

Federal courts are courts of limited jurisdiction. Federal courts are courts of limited jurisdiction. Federal courts hear criminal prosecutions brought Federal courts hear criminal prosecutions brought

by the United States government for violations of by the United States government for violations of federal law and civil cases that either (a) arise federal law and civil cases that either (a) arise under federal law or (b) arise under state law, but under federal law or (b) arise under state law, but (i) “diversity of citizenship” exists and (ii) the (i) “diversity of citizenship” exists and (ii) the amount in controversy is greater amount in controversy is greater

than $75,000.00. than $75,000.00.

Comparing Uganda & U.S. Comparing Uganda & U.S. Court SystemsCourt Systems

The Federal Court System:The Federal Court System:Types of CasesTypes of Cases

The State Court System: The State Court System: Types of CasesTypes of Cases

Cases that deal with the Cases that deal with the constitutionality of a law.constitutionality of a law.

Cases involving the laws Cases involving the laws and treaties of the U.S. and treaties of the U.S.

Cases involving Cases involving Ambassadors and public Ambassadors and public ministers.ministers.

Disputes between two or Disputes between two or more states.more states.

Admiralty law.Admiralty law. Bankruptcy. Bankruptcy.

Most criminal cases, probate Most criminal cases, probate (involving wills and estates). (involving wills and estates).

Most contract cases, tort cases Most contract cases, tort cases (personal injuries), family law (personal injuries), family law (marriages, divorces, adoptions).(marriages, divorces, adoptions).

Note that most (though not all) suits Note that most (though not all) suits involving federal claims can also be involving federal claims can also be heard in state courts. State courts heard in state courts. State courts are the final arbiters of state laws and are the final arbiters of state laws and constitutions. Their interpretation of constitutions. Their interpretation of federal law or the U.S. Constitution federal law or the U.S. Constitution may be appealed to the U.S. Supreme may be appealed to the U.S. Supreme Court. The Supreme Court may Court. The Supreme Court may choose to hear or not to hear such choose to hear or not to hear such cases.cases.


The Federal Court System:The Federal Court System:Selection of JudgesSelection of Judges

The State Court System: The State Court System: Selection of JudgesSelection of Judges

““Article III” judges are Article III” judges are nominated by the President nominated by the President and confirmed by the Senate. and confirmed by the Senate.

They hold office during good They hold office during good behavior, typically, for life. behavior, typically, for life. Through Congressional Through Congressional impeachment proceedings, impeachment proceedings, federal judges may be removed federal judges may be removed from office for misbehavior.from office for misbehavior.

““Article I” judges (e.g., Article I” judges (e.g., Magistrate Judges; Magistrate Judges; Bankruptcy Judges). Method Bankruptcy Judges). Method for appointment varies.for appointment varies.

State court judges are State court judges are selected in a variety of selected in a variety of ways, including:ways, including:

election, election, appointment for a given appointment for a given

number of years, number of years, appointment for life, and appointment for life, and combinations of these combinations of these

methods, e.g., appointment methods, e.g., appointment followed by election. followed by election.


Structure of the Federal CourtsStructure of the Federal Courts 1 - United States Supreme Court (9 justices)1 - United States Supreme Court (9 justices) 13 - United States Courts of Appeals13 - United States Courts of Appeals 94 - United States District Courts94 - United States District Courts

United States Magistrate Judges also assist District Judges.United States Magistrate Judges also assist District Judges. Other CourtsOther Courts: the United States Court of Claims (hears : the United States Court of Claims (hears

most claims against the United States); the United most claims against the United States); the United States Court of International Trade; the United States States Court of International Trade; the United States Bankruptcy Courts (units of the U.S. District Courts).Bankruptcy Courts (units of the U.S. District Courts).

Courts Outside the Judicial BranchCourts Outside the Judicial Branch: the U.S. Tax Court; : the U.S. Tax Court; Military Courts; the Court of Veterans Appeals; federal Military Courts; the Court of Veterans Appeals; federal administrative agencies and boards.administrative agencies and boards.


Structure of the Federal Courts: Trial CourtsStructure of the Federal Courts: Trial Courts• U.S. District Courts have “U.S. District Courts have “original jurisdictionoriginal jurisdiction” over the ” over the

overwhelming number cases filed in federal court. overwhelming number cases filed in federal court. • The District Courts hear pretrial matters/motions, try the The District Courts hear pretrial matters/motions, try the

case (with or without a jury), and enter a final judgment. case (with or without a jury), and enter a final judgment. • An aggrieved party may then appeal to the An aggrieved party may then appeal to the Court of Court of

AppealsAppeals, usually the court of appeals for the geographical , usually the court of appeals for the geographical area in which the District Court sits. (Example of Exception area in which the District Court sits. (Example of Exception – Appeals in patent cases are heard by the U.S. Court of – Appeals in patent cases are heard by the U.S. Court of Appeals for the Federal Circuit.)Appeals for the Federal Circuit.)

• In certain cases, the District Court acts as an appellate In certain cases, the District Court acts as an appellate court. (E.g., Bankruptcy cases; appeals from administrative court. (E.g., Bankruptcy cases; appeals from administrative agency denials of Social Security benefits.)agency denials of Social Security benefits.)



Structure of the Federal Courts: Courts of AppealsStructure of the Federal Courts: Courts of Appeals• Courts of Appeals Courts of Appeals – 12 regional circuits with a Court of – 12 regional circuits with a Court of

Appeals, plus the Court of Appeals for the Federal Circuit Appeals, plus the Court of Appeals for the Federal Circuit (which has nationwide jurisdiction).(which has nationwide jurisdiction).

• E.g., the United States Court of Appeals for the Sixth Circuit hears E.g., the United States Court of Appeals for the Sixth Circuit hears cases from Tennessee, Kentucky, Ohio, and Michigan. cases from Tennessee, Kentucky, Ohio, and Michigan.

• Appellate review is generally limited to the evidence in Appellate review is generally limited to the evidence in the record created before the trial court (or the agency).the record created before the trial court (or the agency).

• Conclusions of law are reviewed Conclusions of law are reviewed de novode novo, but questions of fact are , but questions of fact are reviewed with great deference to the findings of the lower court or reviewed with great deference to the findings of the lower court or tribunal. tribunal.

• Typically hear appeals in three-judge panels, except when entire court Typically hear appeals in three-judge panels, except when entire court hears it “hears it “en bancen banc” for special reasons.” for special reasons.


Structure of the Federal Courts: U.S. Supreme Structure of the Federal Courts: U.S. Supreme CourtCourt

• 1 Chief Justice and 8 Associate Justices.1 Chief Justice and 8 Associate Justices.• Hears cases (from lower federal and state courts) at its discretion Hears cases (from lower federal and state courts) at its discretion

within the guidelines set by Congress. within the guidelines set by Congress. • Hears cases as an entire court (all 9 justices present).Hears cases as an entire court (all 9 justices present).• Hears relatively few cases– usually only for very important issues.Hears relatively few cases– usually only for very important issues.


Example federal caseExample federal case: John Jones sues his former employer, XYZ : John Jones sues his former employer, XYZ Corporation, in Corporation, in U.S. District Court U.S. District Court for employment for employment discrimination in violation of federal law.discrimination in violation of federal law.

The parties will engage in discovery (interrogatories, requests for The parties will engage in discovery (interrogatories, requests for admission, and depositions). admission, and depositions).

Parties often file motions. Sometimes a motion may result in Parties often file motions. Sometimes a motion may result in dismissal of the case. (E.g., motion for summary judgment).dismissal of the case. (E.g., motion for summary judgment).

If not otherwise resolved (i.e., by motion or settlement), the case will If not otherwise resolved (i.e., by motion or settlement), the case will proceed to trial. The case may be heard by the judge or by a jury.proceed to trial. The case may be heard by the judge or by a jury.

At trial, attorneys will present proof – usually in the form of testimony At trial, attorneys will present proof – usually in the form of testimony from live witnesses. Testimony may also be presented by deposition, from live witnesses. Testimony may also be presented by deposition, which is testimony taken before the trial and preserved in writing or which is testimony taken before the trial and preserved in writing or on video by a court reporter.on video by a court reporter.

After the ruling/verdict, there may be post-trial motions.After the ruling/verdict, there may be post-trial motions. An aggrieved party may appeal. An aggrieved party may appeal.

Comparing Uganda & U.S. Court SystemsComparing Uganda & U.S. Court Systems

Example federal case (continued)Example federal case (continued): The : The aggrieved party has appealed from the aggrieved party has appealed from the judgment of the judgment of the U.S. District CourtU.S. District Court..

The The Court of Appeals Court of Appeals may affirm, reverse, remand, may affirm, reverse, remand, vacate, affirm in part and reverse in part, etc.vacate, affirm in part and reverse in part, etc.

The case may reach the The case may reach the U.S. Supreme CourtU.S. Supreme Court if a if a party petitions for and receives a party petitions for and receives a Writ of CertiorariWrit of Certiorari from from the Supreme Court.the Supreme Court.

If remanded, the District Court will engage in further If remanded, the District Court will engage in further proceedings, including a re-trial if necessary.proceedings, including a re-trial if necessary.

Questions? Questions?


Similarities between the U.S. and Ugandan Judiciaries:Similarities between the U.S. and Ugandan Judiciaries: A supreme court as a final arbiter exercising appellate A supreme court as a final arbiter exercising appellate

review.review. Judicial review of the constitutionality of laws.Judicial review of the constitutionality of laws. Use of a professional judiciary in most instances, Use of a professional judiciary in most instances,

particularly at the higher levels. (In the U.S., all federal particularly at the higher levels. (In the U.S., all federal judges are trained lawyers, though U.S. Supreme Court judges are trained lawyers, though U.S. Supreme Court justices do not have to be.)justices do not have to be.)

Legal system based on Anglo-American common law.Legal system based on Anglo-American common law. An element of duality: In the U.S., there exist both federal An element of duality: In the U.S., there exist both federal

and state laws (and in certain cases, the federal courts are and state laws (and in certain cases, the federal courts are bound to apply state law). Does Uganda use both a bound to apply state law). Does Uganda use both a common law system and a system of unwritten customary common law system and a system of unwritten customary laws?laws?


What differences do you What differences do you perceive between the U.S. perceive between the U.S.

and Ugandan judicial and Ugandan judicial systems?systems?

Individual DocketsIndividual Dockets Assignment of judge at case filingAssignment of judge at case filing Case remains with the same judge Case remains with the same judge

until conclusionuntil conclusion The judge is accountable for pace The judge is accountable for pace

and resolution of the caseand resolution of the case Equal distribution of workloadEqual distribution of workload Infrequent re-assignments Infrequent re-assignments

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Early Court InterventionEarly Court Intervention Meaningful deadlines for serving and Meaningful deadlines for serving and

responding to complaintsresponding to complaints Initial case management conference Initial case management conference

and orderand order

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Early Court InterventionEarly Court Intervention Meaningful deadlines for serving and Meaningful deadlines for serving and

responding to complaintsresponding to complaints Initial case management conference Initial case management conference

and orderand order

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Early Court InterventionEarly Court Intervention In the United States, within 120 days of In the United States, within 120 days of

serviceservice Usually held shortly after answer (plea) is Usually held shortly after answer (plea) is

filed.filed. Before conference, parties meet and Before conference, parties meet and

prepare case management plan.prepare case management plan. Judge holds conference.Judge holds conference. Judge issues case management order.Judge issues case management order. Possible application before appellate court.Possible application before appellate court.

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Continuing Control of Continuing Control of Case ProgressCase Progress

Hold parties to scheduleHold parties to schedule Periodic status conferences in complex casesPeriodic status conferences in complex cases Promptly resolve disputes that could delay Promptly resolve disputes that could delay

casecase Promptly rule on motions (applications)Promptly rule on motions (applications) Promptly set final pretrial conference (if not Promptly set final pretrial conference (if not

already set)already set) Never reach a point where a court deadline Never reach a point where a court deadline

is not in placeis not in place

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Maximizing Settlement Maximizing Settlement Opportunities Before TrialOpportunities Before Trial

Parties must discuss settlement at Parties must discuss settlement at first meetingfirst meeting

Set settlement discussion deadline in Set settlement discussion deadline in case management ordercase management order

Court annexed mediationCourt annexed mediation

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Final Pretrial ConferenceFinal Pretrial Conference In the U.S., held after close of discovery In the U.S., held after close of discovery

and resolution of motionsand resolution of motions Purpose: to create a binding plan for Purpose: to create a binding plan for

trial, set parameters.trial, set parameters. Lawyers meet and prepare a proposed Lawyers meet and prepare a proposed

final pretrial order.final pretrial order. Final pretrial conference with courtFinal pretrial conference with court Final pretrial order issuedFinal pretrial order issued High threshold for modifying orderHigh threshold for modifying order

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Firm and Credible Trial DatesFirm and Credible Trial Dates When to set trialsWhen to set trials Setting firm trial datesSetting firm trial dates Avoid granting continuancesAvoid granting continuances

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Trial ManagementTrial Management Final pretrial order governs the trialFinal pretrial order governs the trial Hold parties to allotted timeHold parties to allotted time Avoid trial interruptionsAvoid trial interruptions Lawyers submit proposed findings of Lawyers submit proposed findings of

fact and conclusions of law before fact and conclusions of law before trialtrial

Prompt rulingsPrompt rulings Manage post-trial eventsManage post-trial events

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Enforcement ToolsEnforcement Tools For lawyersFor lawyers For partiesFor parties For witnesses or third partiesFor witnesses or third parties

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Effective Information and Effective Information and Reporting SystemsReporting Systems

Individual Case InformationIndividual Case Information Docket informationDocket information Calendars – provide weekly or monthly Calendars – provide weekly or monthly

to judgeto judge Cases approaching or exceeding time Cases approaching or exceeding time

goalsgoals

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Effective Information and Effective Information and Reporting SystemsReporting Systems

Courtwide caseload and performanceCourtwide caseload and performance Individual judge statisticsIndividual judge statistics With information systems, can set With information systems, can set

court-wide goalscourt-wide goals Backlog reductionBacklog reduction Continuance ratesContinuance rates

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Criminal Case ManagementCriminal Case Management Same principles applySame principles apply

Individual docketsIndividual dockets Early court interventionEarly court intervention Continuing judicial controlContinuing judicial control Final pretrial conferencesFinal pretrial conferences

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Criminal Case ManagementCriminal Case Management Other toolsOther tools

Speedy trial rightsSpeedy trial rights Discovery obligationsDiscovery obligations Plea bargainingPlea bargaining

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Judicial Time Management Judicial Time Management SuggestionsSuggestions

Do tasks onceDo tasks once Decide matters promptlyDecide matters promptly Use computersUse computers Use standardized forms where possibleUse standardized forms where possible Have the parties and lawyers help youHave the parties and lawyers help you Do not hold hearings on every issue or Do not hold hearings on every issue or

motionmotion

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Judicial Time Management Judicial Time Management SuggestionsSuggestions

BacklogsBacklogs Require status reports: dismiss the case Require status reports: dismiss the case

if none is filedif none is filed Setting trials: roll call approachSetting trials: roll call approach Dismissal of unserved cases; demand Dismissal of unserved cases; demand

for default application in cases where no for default application in cases where no response filedresponse filed

Help from other judges on roll callHelp from other judges on roll call

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Court GovernanceCourt Governance We live in an age of accountability We live in an age of accountability

and increasingly available and increasingly available information. People expect more information. People expect more services and deliberations more services and deliberations more quickly and more efficiently at a quickly and more efficiently at a lower cost.lower cost.

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Courts Must Be Public Service Courts Must Be Public Service OrientedOriented

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Focus on the MissionFocus on the Mission

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Committed Leadership & Committed Leadership & Court Members Court Members

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Shared Responsibility Shared Responsibility for Strategic Plan for Strategic Plan ImplementationImplementation

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Set Performance Set Performance Standards & Hold Standards & Hold

People AccountablePeople Accountable

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TransparencyTransparency

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CommunicationCommunication

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CollegialityCollegiality

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CredibilityCredibility

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IntegrityIntegrity

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““There are those that look at things the way they are, and ask There are those that look at things the way they are, and ask why? I dream of things that never were, and ask why not?” why? I dream of things that never were, and ask why not?”

-- Robert F. Kennedy-- Robert F. Kennedy

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Envision the Type of Court Envision the Type of Court System that You & the System that You & the

People of Uganda WantPeople of Uganda Want

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Documents

Presented by: The Honorable Bernice B. Donald U.S. Court of Appeals for the Sixth Circuit Discussion on Strengthening the Courts & Improving the Fair Administration