human resources in courts

HUMAN RESOURCES IN COURTS

BY Gerald B. Kuban

Principal Court Management Consultant

National Center for State Courts

2001

TABLE OF CONTENTS

Page

A . Court Personnel Administration ................................................................................ 1 I . Court Personnel Trends .................................................................................................... 1

B . State and Local Funding of Courts ............................................................................ 2 C . Pay for Performance (merit pay) System .................................................................. 2

E . Sexual Harassment ....................................................................................................... 4 F . AIDS and HIV-Positive Condition .............................................................................. 4 G . Broad Band Class Plans .............................................................................................. 5

J . Job Sharing ................................................................................................................... 7

D . Comparable Worth ...................................................................................................... 3

H . Flextime ........................................................................................................................ 6 I . Shared Leave ................................................................................................................ 7

K . Total Quality Management ......................................................................................... 8 L . Court Interpreters ....................................................................................................... 8

I1 . Federal Law ...................................................................................................................... 10 A . Fair Labor Standards Act ......................................................................................... 10

D . Pregnancy Discrimina~on ......................................................................................... 11 E . Americans with Disabilities Act ............................................................................... 12 F . Family and Medical Leave Act ................................................................................. 13

B . Equal Employment Opportunity .............................................................................. 10 C . Age Discrimination in Employment ......................................................................... 11 . . . . .

. . . .

I11 . Collective Bargaining ...................................................................................................... 14 A . Extent of Court Employee Unionization .................................................................. 14 B . ABA Standard 1.42.5 .................................................................................................. 14

IV . Standards Relating to Human Resources in the Cc.urt ................................................ 15 A . American Bar Association Standards ...................................................................... 15 B . Trial court Performance Standards ......................................................................... 18 C . National Association for Court Management .......................................................... 19

APPENDIX: National Association for Court Management, Human Resources Management Core Competency Curriculum Guidelines

I. COURT PERSONNEL TRENDS'

A. Court Personnel Administration

The relatively recent discovery of personnel administration by courts and judicial systems is

related to and part of the major concerns ofjudicial administration loday.

There are several reasons for this emphasis:

1. Appropriation bodies.

Whether state or local, appropriation bodies are insisting upon greater productivity and

efficiency from public employees and the development of new management techniques and

technological applications to meet increasing wox,kloads. This is an important consideration

since 75 to 80 percent of operating costs of a court or judicial system are for personnel.

2. The trend toward state funded judicial systems.

State-wide judicial employee merit systems usually go hand in hand with state fhding and

administrative integration and unification of the judicial system.

3. The emergence of public employee collective bargaining in the courts.

Without a rational personnel system and skilled personnel administrators and negotiators,

the courts are at a distinct disadvantage in the bargaininl; arena.

4. Judicial systems and individual courts are not exempt from federal statutory requirements

and regulations.

It is difficult for a judicial system or individual court to comply with these requirements or

to determine whether it is in compliance without some sort of formalized personnel system

and some degree of personnel management sophistication.

5. Good management of the public's courts dictates that trained, qualified personnel be

recruited to handle the courts' business and that they be retained, promoted, disciplined or

removed according to their abilities and job performancc:. A personnel merit system

properly managed and maintained, provides the framework for good personnel

administration both on the state and trial court le,-e1.2

' Many courts have developed and implemented personnel policies and procedures relating to the topics covered below. For samples of these policies and procedures the reader is directed to the Trial Court Personnel Guide published by the National Association for Court Management and the National Center for State Courts in 1993. *Personnel Administration in the Courts. Lawson, Ackerman and Fuller.. Western Press 1979, p 2,3.

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B.

While many court systems continue to be funded by ii mix of state and local funds, the trend

toward state financing of courts is clear and continuing. A total of 29 states now fimd their judicial

system^.^ At least eight of these states have taken the step tclward state funding in the past 20 years.

This funding trend is significant since the assumption of judicial expenses by the state

State and Local Funding of Courts

inevitably triggers the development of judicial personnel systems characterized by

1) uniform job classifications and pay plans, and

2) standard personnel rules for court employees statewide.

These rules cover the basics of human resource administration including recruitment, selection,

hiring, compensation, promotion, evaluation and discipline.

The expansion of the court human resource function at the state level can be seen in the human

resource staffing that is exhibited in state court administrative offices. Staff in these offices range from

two to seven positions on average. Some of the larger offices dedicate 13 to 19 positions to human

resource operation^.^ C. Over the past few years increased attention has been given to rewarding

Pay for Performance (merit pay) System.

employee performance and productivity. One problem with traditional grade and step-type pay plans

is that the merit salary increases granted to employees become

"automatic." A large percentage of employees have their performance rated as "satisfactory" and are,

therefore, eligible for a merit salary increase. When coupld with across the board cost-of-living

increases, the payroll cost impact is significant, particularly in times of stagnating or declining

government revenues.

Some movement then is seen in breaking away from the "automatic increase" approach of merit

pay and even the elimination of cost-of-living increases in favor of some method of pay for

performance. These systems, of course, are reliant upon fuilly functioning performance appraisal

systems.

Pay-for-performance systems usually operate under an open range pay plan that eliminates or

minimizes the number of pay steps within a given pay range. Such ranges may only contain a

Alabama, Alaska, Colorado, Connecticut, Delaware, Hawaii, Idaho, Kentucky, Maine, Maryland, Massachusetts, Missouri, Nebraska, New Mexico, New York, North Carolina, Mode Island, South Dakota, Utah, Vermont and Virginia. California, Iowa, Kansas, Minnesota, New Hampshire, New Jersey, North Dakota and Oregon are the most recent states to undertake the state financing of their court systems. See Planning for :State Funded Courts in New Jersey Gerald B. Kuban and Harry 0. Lawson, American University Technical Assistance Project, Nov. 1992.

State Court Organization 1993, National Center for State Courts 1995, p. 171.

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minimum salary, midpoint salary, and maximum salary. Where an employee falls for pay purposes

within a pay range is dependent on a performance evaluation, and not all employees are eligible for or

receive evaluations that result in a merit pay in~rease.~

D. Comparable Worth

The crux of comparable worth is based on the premise that compensation paid to women

holding predominantly female jobs is generally lower when compared to compensation paid for jobs

valued similarly but traditionally held by men.

Comparable worth has become an issue largely because of the continued existence of lower-

paying jobs held predominantly by women. Also, as womerl become increasingly active in

professional roles in government, supported by community-based women's organizations and

government unions, sex-based wage disphty has become visible.

Job evaluation studies offer a systematic means by w,hich jobs can be assessed and compared to

determine their worth. They are an integral part of personnel administration for any organization. All

wage-setting systems involve two principal elements: a ranlcing of the relative values of the various

jobs in relation to each other and a method of linking one set of wages to the wages paid for similar

work in the general labor market. This process of comparing both similar and dissimilar jobs is the

heart of job evaluation methodology.

There are two basic types of job evaluation methodologies in use: qualitative and quantitative.

In the qualitative job evaluation system, criteria are establislied to structure both classification

decisions and comparisons between classes for purposes of setting pay. Positions are first grouped in

classes, and then one class is compared to other classes within an organization. Quantitative job

evaluation systems, on the other hand, compare classes to a standard set of criteria (factors), to which

numerical values have been assigned. This latter method is used more frequently in job evaluations to

compare job worth. It is often referred to as a point-factor system.6

California, Iowa, Minnesota, Montana, Oregon, Wa:jhington and the District of Columbia have

enacted statutes on comparable ~ 0 1 t h . ~

'Trial Court Personnel Management Guide, National Association for Court Management; National Center for State Courts 1993, p. 519-520. Comparable Worth, Dixie K. Knoebel, State Court Journal, Summer, 1985. ' Trial Court Personnel Management Guide, National Association for Court Management, National Center for State Courts

1993, p. 532.

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E. Sexual Harassment

Sexual harassment violates Title VI1 of the Court Rights Act of 1964 and is a form of employee

misconduct that may require disciplinary action. Unwelcome sexual advances, requests for sexual

favors and other verbal or physical conduct of a sexual naturr: constitutes sexual harassment when

submission to or rejection of this conduct either explicitly or implicitly affects an individual's

employment, unreasonably interferes with an individual's work performance, or creates a hostile or

offensive work environment.

Several unique characteristics make sexual harassment an issue of special concern in the court.

The victim may be a man or woman and does not have to be of the opposite sex. The victim does not

have to be the person harassed but may be anyone affected b;y the offensive conduct. Unlawfbl sexual

harassment may occur without economic injury to or discharge of the victim.*

F. AIDS and HIV-Positive Condition

The Americans with Disabilities Act of 1990,42 U.S.C. $1210 et. Seq. (ADA) allows

employers to screen out workers with disabilities who pose a "direct threat" to others in the workplace

(42 U.S.C. $121 13(b). The statute defines direct threat as a "significant risk to the health or safety of

others" that cannot be eliminated by a reasonable accommodation (42 U.S.C. $ 12 1 1 (3).

According to the regulations implementing Title I, a #direct threat determination must be based

on current medical knowledge andor the best available objective evidence. In making such a

determination, the employer must consider:

0 The duration of the risk

The nature and severity of the potential harm

The likelihood that the potential harm will occur

The imminence of the potential harm (29 C.F.R. 31630.2(r)

The U. S. Supreme Court addressed the direct threat issue in Bragdon v. Abbott (8 AD Cases

239, U.S., 1998). The court said the direct threat standard requires objective medical or scientific

information indicating a significant risk of harm, not just a good faith belief that a significant risk of

infection exists.

Trial Court Personnel Management Guide, National Association for Court Management, National Center for State Courts

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1993, p. 118.

Although the U.S. Supreme Court ruled in favor of an HIV-positive patient in Bragdon v.

Abbott, most courts that have addressed the issue in an employment context have allowed employers to

be fairly conservative with regard to the risk of infecting oth~m.'

G. Broad Band Class Plans

Many private and public sector organizations are turning fiom a hierarchical pay/title structure

to flatter designs. This practice is commonly called broadbanding. One consideration is that in light of

recent total quality management (TQM) and process reengineering efforts, an organization can foster a

new, team-oriented climate through broadbanding.

Ideally, the less rigid system will motivate and retain more staff. Employees are encouraged to

grow, in skills and responsibilities, within the band. Career (development and flexibility are stressed in

the new system. With this increased emphasis on individual achievement, there is a fresh outlook on

rewards. Pay is linked with performance, not just tenure at the organization. For example, if a

receptionist who answers the phones, also learns a spreadsheet computer program, the person can be

rewarded with more pay.

Some of the basics of broadbanding are:

A reduced number of grades and titles eliminate excess and confusion in the pay system. There is no standard "magic number" for bands c r titles, but they should not be redundant. Titles need to be simple, yet descriptive and valued by employees, for example, " t e d p r o j ect leader."

Dual-career track options allow individual performers, like a technical staff person, to grow in the same band as managers. This supports lateral moves, promotions within a band, management development and enhanced communications between different jobs.

Wide salary ranges with target pay zones, which usually combine two or three old bands into one wider grade, create about a 75 per cent pay range. If an organization chooses this more conventional change, there is less focus on career development and pay ranges often have more controls with midpoints, maximums and minimums."

'Americans with Disabilities Act Manual, Bureau of National Affairs July 2003, section 20:0504. "Personnel Practices: Broadbanding, Center for Personnel Research, International Personnel Management Association, vol. 2, no. 2, Sept. 1994, p 2-4.

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H. Flextime

The term "flextime" is one of a variety of alternative work schedules, which allow employees

to choose the times when they will start and quit work.

Recent studies and surveys have shown that:

0 All 50 states and the District of Columbia have s3me kind of flextime policy."

0 Eight percent of state and local public employees would take advantage of flexible work arrangements, which give employees flexibility lo begin and end work within a range of hours to accommodate family concerns.I2

Nineteen percent of the federal work force uses i le~t ime. '~ 0

The term "alternative work schedules" refers to a variety of scheduling options including

flextime, compressed work weeks, job sharing, and voluntay reduced work time. Approaches must be

tailored to fit an organization.

Under flextime, fixed times of arrival and departure are replaced by two types of time: core

time, which is the number of hours during which all employees must be present, and flextime, which is

the time designated as part of the schedule of work hours within which the employee may choose his

or her time of amval and departure from the office.

Pros and Cons of Flextime. The advantages, based on the experience in the United States

District Court for the District of Columbia, include: reduced employee tardiness; reduced short-term

leave use; increased employee morale; asset in recruiting; can be implemented with little additional

costs; more relaxed employees (no pressure to beat the clock); different start-up and ending times

reduce gab sessions at the start and end of the day; time to work when public is not present (7:30 to

9:30 a.m. and 4:30 to 6:OO p.m.).

The disadvantages, based on experience, include: more involved scheduling; timekeeping

hnctions are more complex and time-consuming; providing adequate supervisory coverage is more

difficult; much time to plan and implement (1 - 1 /2 years); and employees initially resented sign-idsign-

out sheet.

Readers should refer to the article from the Court Management Journal (1 980), titled

"Flextime-An Inexpensive and Energy Efficient Management Tool." The article sets forth flextime

l 1 The State Reference Guide to Work-Family Programs, Families and Work Institute, New York, New York, 1990. l2 Employee Benefits in State and Local Governments Address Family Concerns, U.S. Department of Labor, Bureau of Labor Statistics, Washington, D.C., 1990. l 3 Public Administration Times, Vol. 14, No. 12, December 1 , 199 1 .

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policies, analysis of one employee's use of flextime, a copy of the daily time sheet filled out by each

employee, and a flextime employee survey questionnaire. l4

I. Shared Leave

A relatively new program, shared leave, allows empl'oyees to donate annual or sick leave to

other employees in need who have used all their leave. Connecticut became the first state to enact a

shared leave program. In addition to Connecticut, 12 other locations have implemented some type of

leave-sharing policy: Alabama, Arkansas, California, Colorado, District of Columbia, Kentucky,

Oklahoma, South Carolina, South Dakota, Texas, Washington, and Wyoming.

Most states have found the programs to be highly successful. Employees usually donate leave

to other employees for a catastrophic accident or illness. Some of the differences in state programs:

employees only being allowed to donate leave to people in the same agency, maximum requirements in

the number of hours that can be donated, and the type of leave which can be donated.

The federal government also has a shared leave program. The Federal Leave Sharing Act of

1988 established a five-year experimental program for annual leave transfer in the federal government.

An evaluation of the federal program indicated that it saved money, because the average pay per hour

of the donor was $1 5.59 while the average pay of the recipimt was $10.55.''

J, Jobsharing

Job sharing is a form of regular part-time employment where usually two employees share the

duties and responsibilities of a single full time position. Salary and benefits are prorated. Job sharers

alternate days or weeks, or they split days.

The State of Illinois, for instance, allows job sharing by state employees under the following

statute:

AN ACT in relation to job sharing by State employees. P.A. 83-90, approved and effective August 18, 1983. 0 135 1. Shared positions in state agencies--Collective bargaining--Seniority. 31. Two individuals may share one employee position in any State agency. "State agency" means all departments, officers, commissions, boards, institutions and bodies politic and corporate of the State, including the offices of Clerk of the Supreme Court and Clerks of the Appellate Courts, the several courts of the State and the legislature, its committees or commissions. "Shared position'' means an employee position in any State agency in which two individuals share the salary and employee benefits.

l4 Trial Court Personnel Management Guide; National Association for Court Management, National Center for State

"Public Administration Times, Vol. 14, No. 6, June 1, 1991. Courts, 1993, p. 834-835.

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Participation in a shared position must be voluntary on the part of the employee. Where

employees in a state agency form a recognized collective bargaining unit or are subject to an existing

collective bargaining agreement, shared positions shall be subject to negotiation. Seniority must be

accorded to employees in shared positions under the same terms as all other employees.

K. Total Quality Management

Total Quality Management (TQM) is a management system that focuses on providing customer

satisfaction through quality service. TQM emphasizes the use of customer feed-back, employee

participation, and data to aid decision-making. Within the court setting, TQM practices have been

applied to a number of areas including jury management, fines and fees collection, document handling

and storage, court reporting, and personnel training. In addition, TQM could be used to examine case

calendaring, data entry practices, the availability of citizen guides and other information sources in the

courthouse, and media relations.16

Although a limited number of courts are currently applying TQM, the number is growing.

Alex Aikman has remarked that "[c]ourts that have started down the path of changing their court's

management culture share the enthusiasm of their private-sector counterparts about the value and

merits of TQM. It is not a fad and it is not something that will disappear if we wait long enough. It is

hard for some to think of the people who come through the courthouse doors--other than attorneys,

perhaps--as 'customers,' but they are the objects and recipients of the service courts provide and thus

are customers. Rather than diminishing the courts' mission of providing justice in individual cases and

being perceived as providing justice, TQM can materially improve and enhance courts' service and at

the same time enhance their capacity to fulfill that mission.""

L. Court Interpreters

Having to appear in court is hard enough for most people. It can be doubly difficult for

someone who is deaf or who cannot speak or understand English. Without proper interpretation,

attorneys' questions and witnesses' responses may be distorted or even changed. When this happens,

court participants who hear and speak English attend a completely different trial fiom those who hear

or speak through an unfit interpreter.

Courts increasingly will encounter interpretation as a management issue in the decades to

come. America continues to attract immigrants from diverse backgrounds who have little or no

l6 Report on Trends in the State Courts, National Center for State Courts, December 1994, p. 23.

Administrators (Denver: National Center for State Courts, Court Services Division, 1994), p.5 1. Alexander B. Aikman, Total Quality Management in the Courts: A Handbook for Judicial Policy Makers and 17

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English-language skills when they arrive, and the American with Disabilities Act requires courts to

accommodate the needs of court participants who have difficulty hearing or speaking.

The solution is not just to find a translator. Court interpreters require specific training and

skills. They face problems of law and ethics that they must know how to resolve. For example,

interpreters are often asked for but cannot give advice during testimony. They may overhear evidence

in private conversations between foreign-language-speaking defendants or witnesses that is not

brought up in trial. During private moments, defendants may even confess to interpreters.

Most states have no clear policy regarding the qualifications of interpreters. Federal law, on

the other hand, mandates certification and other qualifications in federal courts. The federal courts

spend about $400,000 annually to assess needs, establish empirically based testing criteria, and

develop and administer tests. Only a handful of the nation's trial judges and court administrative

officials understand court interpretation requirements, the problems caused by poor interpretation, and

proper qualifications for court interpreters. Compounding the problem is the fact that qualified

interpreters are in short supply in most languages except Spanish, and even Spanish interpreters can be

hard to find in some places.

The National Center for State Courts is conducting a project to study and improve

interpretation services in the state courts. Funding is provided by the State Justice Institute. The

project will provide a model state interpreter statute, a model code of ethics, a model bibliography, a

proposal for a model interstate testing and certification program with interpreter availability and cost.

A Consortium for State Court Interpreter Certification has been created. The Consortium is a

program administered by the National Center for State Courts in Williamsburg, Virginia on behalf of

the state courts systems in the United States. It was created as a way to develop court interpreter

proficiency tests, make them available to member states, and regulate the use of the tests. It is a

mechanism through which funds from several sources can be combined under a single administrative

umbrella to achieve economies of scale across jurisdictional and organizational boundaries. There are

currently 29 member states, representing nearly two-thirds (6 1 percent) of the nation's non-English

speaking population. l 8

'* Trend in the Courts, National Center for State Courts Information Service, December 1994, p. 6,7. Consortium for State Interpreter Certification, www.ncsc.dni.us.

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11. FEDERAL LAW

Various Federal laws apply to the human resource operations of state and local courts. They

include:

A. Fair Labor Standards Act

The United States Supreme Court in Garcia v. San Antonio Metropolitan Transit Authority 469

US. 528, 105 S.CT. 1005 (1 985) overturned the results of an earlier case--National League of Cities v.

Usery 426 U.S. 833 (1 976)--and held that many state and local government employees are covered by

the Fair Labor Standards Act (FLSA) 29 USCS 3201 -2 19.

The FLSA requires, in part, that certain workers receive compensation of not less than a

prescribed minimum hourly rate. It also requires that employees receive overtime compensation for

the workweeks in which they work more than forty hours. This overtime compensation must be not

less than one and one half times the worker's regular rate of pay.

Under the Garcia decision public employers would have been faced with increased budgetary

expenditures for overtime since they had been giving employees compensatory time off to employees

who worked overtime rather than paying them in cash.

In 1985 congress amended the FLSA to allow public employers to provide compensatory time

off at a rate of at least one and a half hours off for each hour of overtime worked in lieu of overtime

compensation. l9

Employees are exempt from FLSA if they are employed in a bonafide executive, administrative

or professional capacity. In a court environment many questions arise concerning the exemption or

inclusion of court employees under overtime payment provisions.

B. Equal Employment Opportunity

Equal employment opportunity is national policy that has been established by federal statutes

and affirmed by judicial interpretations. In the institutions of the public sector, this means that all

persons regardless of race, color, religion, sex, or national origin shall have equal access to

employment opportunities limited only by their ability to do the job. When viewed from the

perspective of an individual court, the principal of equal employment opportunity requires that all

decisions that affect employment or the conditions of employment must be based only on factors

directly related to the job.

l9 29 U.S.C. 0 207(0)(1) as amended by Public Law 99 - 150. See also 29 C.F.R. 553.20 et al.

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Title VI1 of the Civil Rights Act of 1964, as amended (referred to herein as Title VII) provides

the legal foundation for equal employment opportunity. Title VI1 prohibits discrimination in

employment on the basis of race, color, religion, sex, or national origin. It applies to private

employers, state and local governments, and educational institutions that have 15 or more employees.

As units of the state or local governments, court systems must comply with the provisions of Title VII.

Title VI1 prohibits discrimination in hiring, termination, compensation, transfer, promotion,

layoff or recall, recruitment, testing, and any other condition that affects employment.20

C. Age Discrimination in Employment

The Age Discrimination in Employment Act of 1967 (ADEA), as amended (29 U.S.C. 621 et

seq), prohibits age-based discrimination in hiring, job assignments, training, promotion, demotion,

layoff, compensation, transfer, and other terms and conditions of employment, including, for example,

fringe benefit plans and retirement incentive plans. The ADEA also prohibits retaliation against a

worker who opposes discriminatory, age-based employment practices or who files an age

discrimination charge, testifies, or participates in any way in an investigation proceeding, or litigation

under the law. The law applies to federal, state and local governments.

The ADEA, as originally enacted in 1967, only banned discrimination against persons age 40 to

65. Under 1978 amendments to the law, protection was extended to age 70. In 1986, the age 70

ceiling was eliminated so that the law protects all persons--applicants and employees--age 40 and

older.2'

D. Pregnancy Discrimination

In 1978, Congress adopted the Pregnancy Discrimination Act (P.L. 95-555) as an amendment

to Title VII, clarifLing Title VII's prohibitions against employment discrimination based on pregnancy

and pregnancy-related conditions. The Pregnancy Discrimination Act clarifies that female employees

(or covered female spouses) who become disabled on account of pregnancy, childbirth, or other related

medical conditions are entitled to the same benefits and other terms and conditions of employment that

are available to other disabled employees (or disabled covered spouses). It also prohibits an employer

from imposing dollar or leave-of-absence limitations on such disabilities that do not also apply to other

disabilities?2

"Trial Court Personnel Management Guide, National Association for Court Management, National Center for State Courts, 1993, p. 115. 2 1 Bureau of National Affairs, Personnel Management March 2003, Section 201 52 .

Bureau of National Affairs, Compensation March 2001, Section 339:25 1. 22

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\

E. Americans with Disabilities Act

The Americans with Disabilities Act 23 (hereinafter the ADA) enacted by Congress in 1990, is a

comprehensive anti-discrimination statute that prohibits discrimination against qualified disabled

individuals in employment, public services, public accommodations, and telecommunications. The

ADA serves as a national mandate to end discrimination against individuals with disabilities and

provides standards prohibiting discrimination against individuals with disabilities.

The ADA consists of five titles. Title I prohibits discrimination against qualified disabled

individuals in the workplace with regard to job application procedures, hiring, advancement, discharge,

compensation, job training, and other terms, conditions, and privileges of employment. Title I1

prohibits discrimination against qualified disabled individuals in public services, programs, and

activities of state and local governments. These two provisions of the ADA will have the most impact

on the state courts and are discussed in detail below. Title I11 prohbits discrimination against disabled

individuals in public accommodations, which includes most private entities that provide services to the

public.24 Title IV requires telephone companies to make telecommunication services available for

hearing-impaired and speech-impaired individuals, and Title V contains various miscellaneous

provisions that apply to other titles, makes changes in the various miscellaneous provisions that apply

to other titles and makes changes in the Rehabilitation Act of 1973. The ADA does not preempt state

and local disability laws. Therefore, businesses and some government agencies may also be subject to

local laws and ordinances that provide greater protection for disabled persons than the ADA.

State and local governments are subject to the ADA under Title IIZs, which took effect on

January 26, 1992. The judiciary, therefore, is prohibited from discriminating against qualified disabled

individuals in its programs, services and activities and must take affirmative steps reasonably to

accommodate qualified ability-impaired individuals in delivering court services. Title I1 requires new

and older government buildings to be accessible to and usable by the disabled. When designing new

buildings or altering older ones, court officials must be sensitive to the physical and nonphysical

barriers that prevent disabled litigants, judges, jurors, attorneys, and others from participating in the

judicial process. For example, traditional sound fire alarm systems may need to be supplemented with

flashing lights to accommodate hearing-impaired court participants and employees. Doors to

hazardous areas should have signs in Braille to warn the sight impaired of impending danger.

23 American with Disabilities Act of 1990 (hereinafter the ADA at section number), Pub. L. No. 101-336, 104 Stat. 327

24 Id. At $302. 25 Id. At $ 201.

(1990).

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Elevators should have a built-in safety device that allows the elevator door to open if it is obstructed by

an object. The disabled should also have access to water fountains, parking spaces, and restrooms, as

well as to courtrooms and court offices.

The employment practices of state and local governments, including the judiciary, are also

subject to provisions of Title I. Title I prohibits discrimination against disabled individuals who are

qualified to work. A disabled individual, as defined by $504 of the Rehabilitation Act of 1973,

includes any person who: (1) has a physical or mental impairment that substantially limits one or more

of the major life activities; (2) has a record of such impairment; or (3) is regarded as having such an

impairment.26

Once an employee or job applicant is found to be disabled, employers must determine if the

individual is "qualified" to have the job and can perform the "essential functions" of that job with or

without "reasonable accommodation(s)."

1. Essential Functions of the Job A qualified disabled individual must be able to perform the essential requirements of the job and not pose a direct threat to others in the ~orkplace.~' Consideration will be given to an employer's judgment as to what job functions are essential.28 Written job descriptions prepared prior to advertising or interviewing job applicants shall be considered as evidence of the essential fhctions(s) of the job.

In a court setting accommodations must be provided to individuals with disabilities so that court programs and activities are accessible. Public entities must also provide communications for individuals with disabilities that are as effective as those provided for others.

Typical court responses to ADA requirements include the elimination of barriers to courthouse access, modification of jury box, provision for auxiliary hearing devices, provision for sign language interpretation and real time court reporting.

A public entity is not required, however, to take any action that would result in a hndamental alteration in the nature of the entity's program or activities or is undue financial or administrative burdens.29

Family and Medical Leave Act

2. Accommodations

F.

The Family and Medical Leave Act of 1993 requires that employers with 50 or more workers

provide eligible employees with up to 12 weeks of unpaid, job-protected leave each year to care for a

newborn or newly placed adopted or foster child; to care for a child, spouse or parent with a serious

health condition; or because of the employee's own serious health condition.

26 Major life activities including walking, talking, seeing, and traveling. 27 Id., At §101(8). 28 Id. 29 28 CFS $35, 150(a)(3).

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1. Relationship to Other Laws FMLA does not supersede state or local laws providing greater family or medical leave rights.

Federal or state laws prohibiting discrimination on the basis of race, religion, color, national origin, sex, age, or disability--including Title VI1 and the Americans with Disabilities Act--are not affected by FMLA.

It is unlawful for employers to interfere with employees' exercise of rights, or to discharge, discriminate, or retaliate against employees who exercise their rights to leave under the

2. Prohibited Acts

law?

111. COLLECTIVE BARGAINING

A.

A National survey revealed that court employees in 19 states were organized for the purpose of

Extent of Court Employee Unionization

collective bargaining. These states include California, Connecticut, Florida, Hawaii, Iowa, Maine,

Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New Mexico, New York,

Oregon, Pennsylvania, Rhode Island, Washington and Wis~onsin.~'

B. ABA Standard 1.42.5

The American Bar Association Standards Relating to Court Organization recognizes in

Standard 1.42.5 the parity of non-judicial court personnel to participate in collective bargaining to the

same extent as is permitted executive and legislative branch personnel. Conversely, it does not

authorize collective bargaining in the absence of permissive state legislation.

State public employee labor rights acts differ from state to state in some respects, but generally,

they cover such subjects as right to organize, bargaining units, determination of who is the employer,

labor relations authority, nature of negotiations, management rights, written agreements, and impasse

resolution. The content and scope of these subjects vary from state to state. For this reason, Standard

1.42.5 states that the judicial branch should follow the provisions of state law on these and related

matters, rather than prescribing specific standards.

A major concern of the judicial branch is determination of who is the employer and who

conducts the negotiations. Standard 1.42.5 stipulates that the administrative office of the courts should

30 Bureau of National Affairs, Fair Employment Practices, July 2002, Section 4 1 1 5 5 1. 3 1 Trial Court Personnel Management Guide, National Association for Court Management, National Center for State Courts 1993 p. 816.

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conduct negotiations on behalf of the chief justice and judicial system. This is the preferred pattern, as

in New Jersey and Massachusetts, but there are exceptions. In some locally funded states, the court

and county officials have been considered joint employers.

Another judicial concern is the role of the labor relations authority and its effect on judicial

branch independence. This could become an issue requiring court determination if state legislation

providing permissive collective bargaining for public employees also requires that the labor relations

authority within the executive branch is the only one to apply to public employees.

A major administrative concern is the number of bargaining units. The greater the number of

bargaining units, the more complicated and extensive is the negotiation process. Massachusetts’

legislation limits the number of bargaining units statewide to two: one covering probation officers and

bailiffs, and the other, all other eligible court employees. Court employees in Hawaii are represented

by five different collective bargaining units. It seems equally important that court employees be in

bargaining units separate from executive branch employees. A large number of bargaining units and

mixture of judicial and executive branch employees in the same units are much more likely to be found

in states with local funding of the court system.32

N. STANDARDS RELATING TO HUMAN RESOURCES IN THE COURT

There are a number of standards that have been promulgated, which impact the administration

of judicial human resource programs.

A. American Bar Association Standards

American Bar Association Standards Relating to Court Organization, 1990 Edition address

human resources issues with the following standards:

1. Section 1.42 Non-Judicial Personnel of Court System

a. Judicial branch personnel system. There should be a judicial branch personnel system

administered by the regulations adopted pursuant to Standard 1.32. The personnel

system should provide for:

(1) A uniform system of position classification and levels of compensation.

(2) A system of open and competitive application, examination, and appointment of new employees that reflects the special requirements of each type of position in regard to education, professional certification, experience, proficiency, and performance of confidential functions. Employment should be made without discrimination on the basis of race or ethnic identity, age, sex, physical disability, or

32 American Bar Association, Standards Relating to Court Organization 1990, p. 101, 102, 104.

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religious or political affiliation, and should include affirmative action plans to seek out and encourage members of minority or disadvantaged groups to seek employment in the court system.

(3) Uniform procedures for making periodic evaluation of employee performance and decisions concerning retention and promotion;

(4) Requirements that discipline or discharge be based on good cause and be subject to appropriate review.

( 5 ) Compatibility, so far as possible, with the employment system in the executive department. Transfer of individuals from one system to the other, without impairment of compensation, seniority, or fringe benefits should be facilitated.

2. Staff classifications. Regulations governing nonjudicial employees of the court system

should reflect the differences in duties and responsibilities of various types of nonjudicial

personnel including the following:

a. Administrative personnel. Administrative personnel, such as the administrative director

of the administrative office of the courts, court administrators of subordinate court units, and their principal deputies should perform duties requiring managerial skills and

discretion. Administrative personnel should have qualifications that include general

education, appropriate professional experience, and education and training in court

management or public administration. The administrative director should be appointed

and hold office as provided in Section 1.41 (a)@). The court administrator of a

subordinate court unit should be appointed and hold office as provided in Section 1.41

(b)(i). The principal deputies of the administrative director should be appointed by and

hold office at the administrative director’s pleasure, and a corresponding arrangement

should apply to the principal deputies of court administrators of subordinate court units.

(1) Professional personnel. Professional personnel include persons such as examining physicians, psychological and social diagnosticians, appraisers, and accountants, whose duties require advanced education, specialized technical knowledge, and the exercise of critical judgment. They should be selected on the basis of competence within their own profession and adaptability to the working environment of the court system. The procedure for evaluating potential appointees to professional positions should include participation by persons of recognized standing in the professional discipline involved.

(2) Confidential employees. Confidential employees include secretaries and law clerks and other persons whose duties require them to work on a personal and confidential basis with individual judges or judicial officers. Confidential employees should meet qualifications prescribed in regulations adopted pursuant to Section 1.32, but their appointment and tenure may be at the pleasure of the person for whom they work.

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(3) Technical and clerical employees. All other employees should be appointed by the

b. Section 1.42.5 Collective Bargaining for Nonjudicial Personnel.

(1) Right to organize. Where permitted by state law applying to public employees,

chief administrative official of the administrative office in which they are employed.

including those in the judicial branch, employees of the administrative office of the courts and individual court units who are not in management or policymaking positions may join a labor organization or form their own for the purpose of good faith collective bargaining. The scope of collective bargaining should be limited to those matters concerning compensation, working conditions and related subjects permitted by state law applying to public employees, including those in the judicial branch.

court system wide, where feasible; should apply only to court system employees; and may be organized according to functional employee categories, such as court clerical support staff or probation officers.

(3) Labor relations authorities. Depending on the requirements of state law, the administrative office of the courts should create a labor relations authority consisting of a small number of persons outside of the judicial system knowledgeable in labor-management relations or make use of the labor relations authority created by the executive branch. It should be the duty of this authority to conduct and supervise representation elections, conduct hearings and resolve complaints on unfair labor practices, and carry out related activities as required by state law applying to public employees, including those in the judicial branch.

(2) Bargaining units. The number of bargaining units should be limited; should be

(4) Negotiations.

(a) Responsibility. Negotiations with judicial branch bargaining units should be conducted by the administrative office of the courts on behalf of the judiciary and of the chief justice as the administrative head of the court system.

(b) Management rights. As administrative head of the judicial system, the chief justice should reserve on its behalf management rights, power, and authority, such as the assignment, management, control, and direction of the workforce; determination of technology applications; and related matters as permitted by state law applying to public employees, including those in the judicial branch, subject to the ultimate authority of the supreme court.

(c) Written agreements and impasse resolution. The form of collective bargaining agreement, such as a collective bargaining contract or a memorandum of understanding, and the duration thereof should be governed by state law applying to public employees, including those in the judicial branch. State law should also govern whether and the extend to which conciliation, mediation, and arbitration may apply and how impasses should be resolved and by whom, subject to the authority of the supreme court.

c. Section 1.43 Compensation and Retirement of Nonjudicial Personnel. Levels of

compensation for nonjudicial personnel should be sufficient to attract and retain highly

17

competent staff. The level of compensation and retirement benefits of the director of

the administrative office should be not less than that of a judge of the intermediate court

of appeals. The compensation levels for other administrative personnel should be

established proportionately. Compensation levels should be reviewed and revised by a

proccedure corresponding to that provided in Section 1.23 (b) or under the

compensation review provisions of the nonjudicial employee merit system for

administrative staff covered by the system. Employees should be reimbursed for

expenses incurred in activities incidental to their employment and provided legal

representation and indemnification or insurance for judgments and legal fees assessed

against them in actions arising from performance of their official duties. Permanent

employees should be provided with health care coverage, which should include at least

medical, dental, and vision insurance and should provide coverage for hospitalization,

surgery, dental care, vision care, and major medical expenses for them and their

dependents and by a retirement system that, at least, substantially corresponds to that in

effect for employees of the executive department.

d. Section 1.44 Continuing Education for Court Staff. All staff members of the court

system should maintain and improve their professional competence through continuing

education. Court systems should operate or support programs of orientation for new

court staff and refiesher and development programs for experienced staff. Where

greater convenience and economy can be achieved, such programs should be operated

jointly by several court systems, or regionally or nationally.

B. Trial Court Performance Standards

The Commission on Trial Court Performance Standards promulgated 22 standards as a

proposed philosophy for trial court self assessment and self improvement. They define what the

Commission believes should guide and govern trial court performance.

1. Standard 4.3 Personnel Practices and Decisions.

The trial court uses fair employment practices.

Commentary:

The trial court stands as an important and visible symbol of government. Equal

treatment of all persons before the law is essential to the concept of justice. Extended to its

own employees, this concept requires every trial court to operate free of bias-on the basis

18

of race, religion, ethnicity, gender, sexual orientation, color, age, handicap, or political

affiliation-in its personnel practices and decisions.

Fairness in the recruitment, compensation, supervision and development of court

personnel helps ensure judicial independence, accountability, and organizational

competence. The court's personnel practices and decisions should establish the highest

standards of personal integrity and competence among its employees.

Each of the four measures for this standard uses a different approach to assessing the

fairness of the court's employment practices. Employee views toward court practices are

determined through both an open-ended discussion (Measure 4.3.1) and a systematic survey

(Measure 4.3.2). The additional information is complemented by a review of

administrative records to see how well the demographic composition of the court's

personnel matches the community's composition (Measure 4.3.3). Finally, the results of all

three measures are used as discussion materials for a further examination using group

techniques (Measure 4.3.4.).33

2. Standards 1.3.2, 1.3.2 and 1.3.4 of the Trial Court Performance standards cover the

evaluation of interpreted events, tests of basic knowledge required of interpreters and

assessment of non-English language proficiency. The reader is directed to the National

Center for State Courts website for further information at www.ncsc.dni.us/research/tcps.

C. The National Association for Court Management (NACM) has received a continuation grant

fiom the State Justice Institute to complete the core competency curriculum guidelines that describe

what court managers should know and be able to do. One of these core competencies is "Human

Resources Management" which is found in the appendix.

National Association for Court Management

33 Trial Court Performance Standards with Commentary, National Center for State Courts, 1990, p. 19 and 33.

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APPENDIX

National Association for Court Management

Human Resources Management Core Competency Curriculum

Guidelines

Core Competency Curriculum Guidelines HUMAN RESOURCES MANAGEMENT

INTRODUCTION: What This Core Competency Is and Why It Is Important

Courts need good people, people who are competent, up-todate, professional, ethical, and committed. High- performing courts get the very best from their judges and employees no matter what their particular assignment or job. As courts carry out recruitment, selection, employee relations, job analysis, job evaluation, and position classification; the administration of pay and benefits; and performance management, they demonstrate what the court believes in, its values, and its standards. The aim is not good Human Resources Management in an otherwise mediocre court. It is a high-performance court.

Court leaders set the right tone for Human Resources when their management of the court is cohesive and strategic. The connection between caseflow management; education, training, and development; budgeting and finance; information technology; and human resources is seamless.

Like almost every other private and public sector organization, courts dedicate most of their budget to salaries and benefits. But the services their judges and employees provide -- on the telephone, at the counter and the bar of the court, and from the bench - differ from other organizations. The courts’ business is equal justice under law, due process, equal access, and independent and impartial treatment and decisions.

Because impartiality and independence are core court values, Human Resources Management must be fair and objective. The right people are hired, developed, and promoted. When mistakes are made they are corrected. Human Resources staff is professional, accountable, and recognized as vital to the court’s mission.

Judicial independence rightly drives court Human Resources Management philosophy, structure, and decisions. In the words of Alexander Hamilton in Federalist 78: ” . . . there is no liberty if the power of judging be not separated from the legislative and executive powers.” While courts, either independently (primarily locally funded), or as a state funded system, seek and obtain resources from the other branches, court Human Resources must be under court control and independent in philosophy, form, and practice.

Achieving independence is not easy. Most courts are small employers relative to employers generally and other governmental units in particular. Many trial courts employ fewer than 20 people. Excluding large metropolitan areas, courts typically employ 100 or fewer people with most having no more than 300 employees.

Due to their small size, court human resources staff are often co-located with other units of government and even included in other’s budgets. This can cause others to view courts as “just another department“ with court human resources staff, policies, procedures, and practices that should be the same as “other departments.” Undue deference to the executive branch personnel system can have negative consequences. For example, court staff must both support and appear to support independent and impartial processes and decision making. The court must have flexibility to adjust work schedules of courtroom personnel who sometimes must work outside normal working hours due to trials or other court events, without incurring unnecessary overtime or compensatory time obligations. Whatever the arrangement designed to recruit, select and hire, evaluate, pay, reward, develop, and manage judicial staff, the judiciary must lead and, to a significant extent, control its Human Resources function or risk its independence, image, and effectiveness.

Changing environmental factors and a changing labor pool likewise challenge courts and their leaders. Current trends include an aging labor force, younger workers with different values and expectations, more women, more racial and ethnic “minorities,” more immigrants, and more diverse life styles. Challenging issues include telecommuting, benefits, work rules, work schedules, competing with other employers, both public and private, and leadership practices. Environmental factors, a changing labor force, and public demands for accountability challenge courts and their leaders and mandate a sense of urgency about court Human Resources practices. But the court culture is usually quite conservative. The top court professionals, judges, speak and dress in ways that are staid, mannered, and unmistakably traditional, but the issues they address are complex, dynamic, and challenging. Who gets custody? How do we balance public safety against the presumption of innocence and reasonable doubt? A rightly conservative culture need not produce unresponsive judicial decisions or tired court management and human resources

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practices. Waiting for difficult environmental and workforce issues to go away was never appropriate; now it is untenable.

Court Human Resources Management must be dignified but not stodgy, proper but also energetic, and correct but also creative. The highest quality service providers, whether they are in the private sector (current examples include Nordstrom and Wal-Mart) or in the public sector, set the standard by which court services ought to be measured. Recruitment; selection; education, training, and development; and fairness must be equal to or better than all other employers, both public and private. The court should be a model employer.

Effective Human Resources Management not only enables performance but also increases morale, employee perceptions of fairness, and self-worth. People who work in the courts are special. Their jobs and the work of the courts are not too small for the human spirit. With proper leadership, court Human Resources Management contributes to meaning and pride over and beyond the reward of a paycheck. It reflects the enduring purposes and responsibilities of courts.

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CURRICULUM GUIDELINES SUMMARY

What Court Leaders Need To Know and Be Able To Do

The Human Resources Management competency includes four areas, which encompass personal characteristics as well as acquired knowledge, skills, and abilities (KSAs):

0 Vision and Purpose 0 HR Fundamentals 0 Context and Fairness 0 Management and Supervision

Vision and Purpose

Vision-focused, purposeful, ethical, and legally defensible management of the court's human resources supports judicial independence, impartiality, and accountability. Since alignment of Human Resources with the court's core purposes and responsibilities and its vision and strategic objectives is essential, the court must have a strategic vision. Some do not. Effective leaders establish a direction for the court. Human Resources and other court functions reflect this direction. When this is true, Human Resources supports an independent and impartial judiciary, one pillar on which a free and ordered society depends and upon which the entire justice system rests.

Courts must adhere to federal and state human resources legal mandates concerning, among many issues, the hiring and supervision of court staff and their work environment. But these mandates must always also respect judicial independence, the inherent powers doctrine, and supporting case law. The court's mission, values, and strategic vision should be consistent with the court's enduring purposes and responsibilities.

If the court lacks strategic vision, the Human Resources function will drift along with the rest of the court from crisis to crisis. In this circumstance, Human Resources staff, together with judicial branch educators, with direction from court leaders, should take the lead in helping the court affirm its core values, articulate a strategic vision, and align Human Resources and other functions with the court's strategic vision.

Human Resource Fundamentals

For court leaders to oversee Human Resources, they must understand the fundamentals. Job analysis is critical. When court leaders understand what their employees do, they can oversee the evaluation of actual against desired performance. This will help the court structure jobs, departments, and workflow; develop job descriptions; design recruitment and selection procedures; evaluate positions to ensure equitable compensation; and organize performance management systems.

Like other organizations, courts need effective and legally defensible recruitment and selection processes - identifying and attracting applicants, narrowing the pool, and selecting candidates whose qualifications best fit the specific job and the court's values and culture. After employees are selected, they must learn the court's culture and be prepared for the specifics of their job. Compensation includes both extrinsic (e.g. pay, benefits) and intrinsic (e.9. satisfaction for a job well done) rewards. Establishing internal and external equity in the compensation system through job analysis, job evaluation, and compensation surveys are important fundamentals as is employee relations. Performance management helps employees perform by defining responsibilities, setting expectations, providing necessary resources, giving ongoing feedback, periodically appraising performance, and utilizing the resulting information for decision making, problem solving, and development. Performance appraisal is but one aspect of performance management.

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Understanding labor relations, the legal environment of people management, and changing labor force demographics is essential, as is what motivates the behavior and priorities of court employees.

Context and Fairness

Establishing and enforcing fair policies and rules, dealing with employee performance and behavior issues, and responding to employee complaints and grievances, is accomplished in differing contexts. In many courts, employees are unionized. Trial courts can be state or locally funded, affecting Human Resource policies. Do all or some enjoy merit system protections? Are they employees of a state-funded trial court system, or is there local variability with respect to Human Resource issues? Professionals understand the political and organizational environment of their court and the impacts of the many variations on court Human Resources Management. They also know that whatever the context and constraints, fairness -- both actual and perceived - is the standard of a court that is a model employer. Employees should perceive that Human Resources can be trusted to make fair and independent recommendations to court leadership.

Management and Supervision

Effective court leaders ensure that the parts of the court, including Human Resources, are a productive whole. Organizational cohesion is possible when court leaders have the will and skill to pull the organization together so that the whole is greater than the sum of the parts. Human Resources Management is central to this integrating task. Human Resources sets a tone that permeates the court from the moment employees are recruited and hired, as they are developed and promoted, through to their departure. When the court's leadership is effective, court staff are empowered. They understand and are committed to the courts' mission and vision. They know their job is important and how it fits in the whole. Recognition of Human Resources staff as a key department and function is a strong message to judges and staff that court employees are important and make valuable contributions to justice and public trust and confidence.

Court leaders establish standards and maintain the court's direction and operations. They balance the need to maintain routines with the need to make changes. Human Resource Management is not an end in itself. Rather it supports court workflow, internal and external interdependencies, and the change process. While Human Resources monitors and enforces compliance with legal mandates, it is primarily a service function. Human Resources services and supports court leaders, court departments, and staff who do the work. Leadership ensures that staff assigned to Human Resources and Training, Education, and Development staffs are on the same page.

Through their management of Human Resources and other departments, court leaders model the behavior they wish to see throughout the court. When the leaders are successful in modeling the behavior they want to see and in setting high standards with Human Resource staff, Human Resource is invaluable in creating and maintaining a high performance culture.

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HUMAN CURRICULUM GUIDELINES

REQUIRED KNOWLEDGE, SKILL, AND ABILITY

VISION AND PURPOSE 1

FUNDAMENTALS 1

CONTEXT AND FAIRNESS 1

MANAGEMENT AND SUPERVISION I

N A C W D A C 5 7/3/2003


VISION AND PURPOSE

Courts that are managed effectively have a strategic vision that reflects enduring court purposes and responsibilities. The court’s strategic vision should resonate in Human Resources Management and all other court functions and processes. Courts should be model employers with policies and practices that comply with state and federal employment laws and regulations and relevant ethical codes. But legal requirements imposed by others must be integrated with judicial independence and the inherent powers doctrine. A competent judiciary is independent in philosophy, form, and practice. It delivers justice from the bench but also on the phone, at the counter, and the bar of the court. When Human Resources reflects court purposes and is aligned with the courts strategic vision, it supports all other core competencies, particularly Leadership; Visioning and Strategic Planning; and Education, Training, and Development.

Knowledge of the Purposes and Responsibilities of Courts Curriculum Guidelines and their application to Human Resources Management;

Knowledge of how Human Resources supports all other Core Competencies;

Knowledge of how judicial independence, the rule of law, and inherent powers doctrine and supporting case law guide Human Resources policy and practices;

Knowledge of the mission, vision, and values of the court and how to operate Human Resources in support of the vision;

Ability to develop a strategic vision for the court, if it is missing, and to apply it to Human Resource Management;

Ability to articulate how ethical standards, including the NACM Model Code of Conduct, the ABA Canons of Judicial Conduct, and relevant state and federal ethical codes apply to Human Resource policies, procedures, and practices;

Skill in controlling and taking responsibility for Human Resources and ensuring that the court is a model employer;

Knowledge of how well-managed Human Resources contributes to a healthy work environment and

productive and committed court employees;

Ability to articulate with respect, when necessary, to judges involved in Human Resources that

judicial immunity does not extend to personnel policies, practices, and decisions;

Ability to ensure that court Human Resources is independent in philosophy, form, and practice.

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FUNDAMENTALS

For court leaders to manage and improve Human Resources, they must understand the fundamentals. The fundamentals begin with job analysis to understand court jobs and duties, required competencies, and specific job environments. Identifying, attracting and recruiting, and selecting good applicants for court positions, and compensating, developing, and retaining them are critical Human Resources fundamentals. Compensation refers, at a minimum, to the many forms of financial rewards and other benefits. Compensation flows from performance management, which includes but is more than performance appraisal. Employee relations and legal requirements are crucial. Are court employees representative of the community? Human Resources fundamentals are known to and skillfully managed by effective judicial leadership teams.

Ability to attract, develop, motivate, and retain competent court employees;

Ability to develop and to update Human Resources policies and regulations for the judicial branch;

Knowledge of Title VI1 of the Civil Rights Act of 1964; applicable affirmative action obligations; Fair Labor Standards Act; Family and Medical Leave Act; workplace injury and Workers Compensation laws, rules, and regulations; and other laws, rules, and regulations covering medical absences, other federal and state employment laws, sexual harassment, workplace privacy, grievances, discipline, at-will employment, and civil service legal issues;

Knowledge of American with Disabilities Act and needed accommodations for court employees and the public;

Skill in Human Resources planning that comprehends community demographics and trends and anticipates future needs;

Knowledge of job analyses, the drafting of job descriptions, and skill in overseeing their use;

Ability to analyze the labor market, i.e. the area from which court employees can reasonably be recruited, and how to recruit and hire staff that are reflective of the community;

Ability to oversee recruitment and to manage the recruitment process, including yield ratios;

Ability to utilize appropriate selection methods, including interviews and assessment centers;

Skill in overseeing orientation processes for newly hired employees, including the purposes and responsibilities of courts, specific court values, and court structure;

Ability to oversee position classification and compensation through job evaluation that ensures internal equity;

Ability to oversee data gathering about compensation of employees outside the court that ensures external equity;

Knowledge of direct pay methods and trends, including base pay, merit pay, incentives, and cost-of- living adjustments;

Knowledge of indirect compensation components, including protection programs (e.g. pensions, health insurance, life insurance, disability insurance), pay for time not worked on the job (e.g. breaks, meal time), pay for time not worked off the job (e.g. vacations, holidays, leaves), and perquisites (e.9. on-site day care, attractive work place);

Knowledge of alternative workplace arrangements such as telecommuting and flex scheduling and their use in courts;

Knowledge of employee performance appraisal and performance management methods;

Knowledge of how to define jobs, set performance expectations, and relate them to court and departmental goals and objectives;

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Skill in overseeing performance monitoring and evaluation to identify organizational problems and to develop solutions to those problems;

Skill in overseeing evaluation of individual performance, reviews, and feedback;

Knowledge of the principles and methods for documenting performance and behavior problems and personnel actions;

Knowledge of how and when to counsel, discipline, transfer, and terminate problem court employees;

Skill in overseeing succession planning;

Skill in overseeing, when necessary, court workforce reduction using proper processes;

Knowledge of principles of labor relations, including management rights, past practices, discipline in a unionized environment, and contract administration;

Skill in negotiating contracts;

Knowledge of alternative ways of resolving "impasses" in labor negotiations;

Knowledge of the purposes of employee wellness programs and how to oversee the creation and implementation of these programs in court settings;

Knowledge of private sector Human Resource products that relate to all of the above including testing, other software, and outsourcing Human Resource services.

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I CONTEXT AND FAIRNESS

Fairness in court Human Resources ensures that the actions of court employees, particularly supervisors, are acceptable. Concerning fairness, the court must be a model employer, which serves the court’s mission, and protects court stakeholders. Among those stakeholders are court employees. Court structure and organization, civil service rules, merit procedures, and collective bargaining agreements define the organizational context in which fair court Human Resource Management is situated. Whatever the context, court Human Resource Management should be fair and impartial.

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Ability to convey to every court employee the court‘s commitment to fair treatment of everyone that works in and comes to court, whatever the court’s structure or funding;

Knowledge of the governmental and organizational structure in which the court operates, the legal authority of court and other governmental leaders, and their implications for Human Resources;

Ability to apply federal and state affirmative action laws, cross cultural, ethnic, racial, religious, diverse life styles, and gender issues to Human Resources policies and practices;

Skill in recruiting and developing employees who are reflective of the community, particularly groups that are disadvantaged by income and other factors;

Knowledge of due process, fairness, equity, and consistency in managing Human Resources;

Ability to engender a court culture that is sensitive to and willing to report bias in the court, both between employees and court employees and the public;

Knowledge of effective complaint or grievance procedures and disciplinary investigations that balance the rights of accusers and those accused of bias and other misconduct affecting actual and perceived fairness;

Skill in responding to and properly resolving employee concerns, complaints, and grievances, including charges of sexual harassment;

Ability to convey to every court employee the courts’ commitment to fair treatment of everyone that works in and comes to court, whatever the courts’ structure or funding;

Knowledge of the governmental and organizational structure in which the court operates, the legal authority of court and other governmental leaders, and their implications for Human Resources.

NACMDDAC 9 7/3/2003


MANAGEMENT AND SUPERVISION I

Skillful management and supervision is crucial to Human Resource Management in any organization, including courts. The Human Resources Management competency includes not only functions traditionally associated with “personnel,” but also knowledge, skills and abilities associated with leading, supervising, and managing a cohesive court. It is axiomatic that leadership and management underpin Human Resource Management. There is obvious overlap between this and the NACM Leadership Core Competency. Court leaders who oversee Human Resources must be skilled managers and supervisors. Through their practices and conduct they model the values, attitudes, and behaviors that define a high performance court. They understand the importance of consistency across the court. Human Resources is critical to creating a cohesive court and maintaining a high performance court culture.

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Skill in establishing value-added Human Resource policies, procedures, and work rules that are aligned with the courts’ purposes and strategic vision;

Ability to keep Human Resource Management, Education, Training, and Development, and other court departments on the same page;

Skill in balancing the need for rules, structure, and consistency against the need for organizational cohesion and flexibility in dealing with court staff and Human Resource issues;

Skill in ensuring that Human Resource staff provide uniform and consistent service and support to other court departments, supervisors, and staff that do the work;

Skill in overseeing Human Resource staff and other court managers as they plan, work with, and for, court employees;

Skill in effective written and oral communication with employees about Human Resources and its fit in the court and the court‘s strategic vision;

Ability to organize work and to assign it to the right employees;

Skill in delegating work to Human Resources and other court departments and staff;

Ability to oversee the recruitment, training, and management of volunteers;

Skill in modeling how to encourage, mentor, coach, counsel, and resolve employee problems;

Effective supervision skills, particularly providing necessary guidance and support without “micro- managing;

Skill in developing, energizing, and managing effective court teams;

Skill in providing timely and constructive feedback to individuals and court departments;

Skill in recognizing high performing individual and court departments.;

Skill in motivating individuals and court departments to improve their performance including recognition, praise, and other rewards including financial compensation;

Ability to listen and collaborate with subordinates and to ensure that others in the court family do likewise;

Ability to anticipate new challenges and to lead and manage change of the court and its Human Resources Management;

Skill in setting and maintaining the court‘s governance structure and the role of Human Resources in that structure;

Ability to convey to court employees and other stakeholders that the court is an independent and accountable employer.

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human resources in courts

Documents