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Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 2 of 11Trial Court OrganizationTable of Contents1.02.03.04.05.06.0Table of ContentsPurposePolicy StatementApplicationDefinitionsText6.1 The Judicial Council of California6.1.16.1.26.1.3Organization of the Judicial Council of CaliforniaDuties and Responsibilities of the Judicial Council of CaliforniaRules of Court6.2 Judicial Council of California Staff6.2.16.2.2Organization of Judicial Council of California StaffDuties and Responsibilities of Judicial Council of California Staff6.3 The Trial Court6.3.16.3.2Organization of the Trial CourtDuties and Responsibilities of the Trial Court6.4 Trial Court Operating Standards7.0 Associated DocumentsPurposeThe purpose of this policy is to describe the organizational structure, duties and responsibilities,and authority of the major governmental organizations that make up or have an administrative orpolicymaking role for the State of California trial court system.Policy StatementThe Judicial Council of California is the governing body of the California court system,including the trial courts. Consistent with its constitutional authority, the requirements of theLockyer-Isenberg Trial Court Funding Act of 1997 (AB 233) and other legislation, the JudicialCouncil of California has established financial rules that allow and require the trial courts tooperate responsibly.ApplicationThis procedure applies to all trial court officials and employees.DefinitionsRefer to the Glossary for the following key term used in this policy.Lockyer-Isenberg Trial Court Funding Act of 1997 (AB 233)June 2020Back to Main TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 3 of 11TextThe trial court is subject to the policies and rules established by the Judicial Council ofCalifornia and the policies and procedures established by Judicial Council of California Staff,under delegation from the Judicial Council of California, as shown in the figure below.State of California Trial Court OrganizationJUDICIAL COUNCIL OF CALIFORNIA Established 1926Policy and rule making body for the California courtsConsisting of voting and nonvoting members (judges, courtadministrators, attorneys, legislators)JUDICIAL COUNCIL OF CALIFORNIA STAFF Provides support services for the state court systemCarries out, as needed and delegated, the Judicial Council’sofficial actionsEstablishes procedures for trial court budget development,financial management, and reportingAdministers statewide funds for the benefit of the courtsTRIAL COURTS OF CALIFORNIA 6.1Located in each of California’s 58 countiesHear civil (small claims, family, probate, juvenile) and criminal(felonies, misdemeanors, infractions) casesResponsible for managing operations consistent with theConstitution, statutes, rules of court, and standards ofjudicial administrationThe Judicial Council of California6.1.1 Organization of the Judicial Council of California1. The Judicial Council of California was established in 1926 by article VI, section 6 ofthe state Constitution. The council has policy and rule-making authority over theCalifornia courts, the nation’s largest court system. The California Constitutiondirects the Judicial Council of California to make recommendations annually to theJune 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 4 of 11Governor and the Legislature and adopt rules of court administration, practice, andprocedure.2. The Judicial Council of California operates by adopting rules, policies, andprocedures. The rule-making authority is constitutionally derived. The policy andprocedure– making authority stems primarily from statute. The council alsoestablishes advisory committees and task forces to assist it in its decision making.3. The Judicial Council of California is composed of the following members:a. The Chief Justice, who chairs the Judicial Council of California;b. One other Supreme Court justice;c. Three justices from the courts of appeal;d. Ten trial court judges;e. Four attorneys appointed by the State Bar’s governing body;f. One member from each house of the Legislature;g. Two nonvoting court administrators; andh. Any other nonvoting members as determined by the voting membership of thecouncil.6.1.2 Duties and Responsibilities of the Judicial Council of CaliforniaThe Judicial Council of California’s duties and responsibilities are defined by the stateConstitution and by statute. With respect to the operation and fiscal management of thetrial courts, the Judicial Council of California has the responsibility and authority to:1. Adopt a budget and allocate funding for the trial courts;12. Adopt policies and procedures governing practices and procedures for budgeting inthe trial courts;21Gov. Code, § 68502.5(c).2Gov. Code, § 77202(c)(1).June 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 5 of 113. In consultation with the State Controller, must maintain appropriate regulations forrecordkeeping and accounting by the courts;34. Adopt rules ensuring that, upon written request, the trial courts provide, in a timelymanner, information relating to the administration of the courts, including financialinformation;45. Prepare budget requests for the courts and oversee the allocation and management ofthe court system’s budget;56. Allocate resources in a manner that enables the trial courts to carry out theirfunctions, and promote the implementation of statewide policies, efficiencies, andcost-saving measures in court operations;67. Adopt a schedule for allocating funds to individual trial courts;78. Provide for uniform entry, storage, and retrieval of court data relating to civil casesand court administration;89. Promulgate rules for the establishment of efficient trial court management;9 and10. Regulate the budget and fiscal management of the trial courts.6.1.3 Rules of Court1. Under Article VI, section 6 of the Constitution of California, the Judicial Council ofCalifornia is charged with improving the administration of justice. The JudicialCouncil of California has constitutional authority to “adopt rules for courtadministration [and] practice and procedure. The rules adopted shall not beinconsistent with statute.” California Rules of Court have the force of law.2. The state Legislature can also have the Judicial Council of California perform otherfunctions as prescribed by statute.3Gov. Code, § 77206(a).4Gov. Code, § 77206(f).5Gov. Code, § 68502.5.6Gov. Code, § 68502.5(c).7Gov. Code, § 68502.5(a)(4).8Gov. Code, § 68513.9Gov. Code, § 77206(a).June 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 6 of 113. The Judicial Council of California’s Standards of Judicial Administration containsrecommendations for court practices and procedures. The standards provideguidelines and include goals that courts and judges are urged to attain.6.2Judicial Council of California Staff6.2.1 Organization of Judicial Council of California Staff1. Judicial Council of California Staff is the staff agency to the Judicial Council andcarries out its official actions and other functions delegated by the Judicial Council orthe Chief Justice.2. The Judicial Council of California’s mission is to serve the courts for the benefit ofall Californians by advancing excellence, leadership, and service in the administrationof justice.3. The Judicial Council of California Staff organization’s authority to develop andimplement management and administrative programs, rules, policies, and proceduresis delegated by the Judicial Council of California, which also sets guidelines forJudicial Council of California Staff to operate within.4. The Judicial Council of California Staff organization is led by the AdministrativeDirector, who is responsible for:a. Implementing the directives of the Judicial Council of California.b. Developing policies and procedures for the creation and implementation of ayearly budget for the judiciary.c. Presenting the judiciary’s budget in negotiations with the Governor and theLegislature.d. Ensuring that the fiscal affairs of the trial courts are managed efficiently,effectively, and responsibly.105. The Judicial Council of California Director of Budget Services, under the direction ofthe Administrative Director, administers the budget policies and proceduresdeveloped by the Administrative Director and approved by the Judicial Council ofCalifornia. The Judicial Council of California Director of Budget Services:10Gov. Code, § 77206(a).June 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 7 of 11a. Develops and administers the budget preparation process and ensures thesubmission of a final budget recommendation for the judiciary to the Departmentof Finance each year.b. Develops a manual of procedures for the budget request process, revenues,expenditures, allocations, and payments.c. Monitors all revenues and expenditures for the judiciary.d. Develops recommendations for fiscal priorities and the allocation and reallocationof funds.e. Assists the courts and the Administrative Director in preparing and managingbudgets.6. Judicial Council of California Budget Services provides an integrated program ofbudget planning to the judicial branch.6.2.2 Duties and Responsibilities of Judicial Council of California Staff1. The primary responsibility of Judicial Council of California Staff is to carry out thedirectives of the Judicial Council of California. With respect to the fiscal managementof the trial courts, Judicial Council of California Staff has been granted the authorityto:a. Establish budget procedures and an annual schedule of budget development andmanagement consistent with Judicial Council of California rules.b. Set forth the criteria for the Judicial Council of California’s trial court budgetrequest.c. Administer the State Trial Court Improvement and Modernization Fund alongguidelines set by the Judicial Council of California.6.3The Trial Court6.3.1 Organization of the Trial Court1. Trial courts are located in each of California’s 58 counties.2. The trial court organization structure is as follows:a. Each trial court is headed by a presiding judge, who is ultimately responsible forall the administrative actions of the court.June 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 8 of 11b. The court executive officer, who reports directly to the presiding judge, isresponsible for the management and administration of court operations.c. The trial court may also employ a court fiscal officer, who is responsible for thedetailed management of the court’s financial and accounting functions.d. The trial court operations are typically organized based on the programs that thecourts conduct within the county that they reside in. Examples of court programsare General Civil, Family Law, Probate, Small Claims, Traffic, Criminal,Juvenile, and miscellaneous programs.e. The trial court shall prepare an organizational chart that should be updated at leastonce per year.6.3.2 Duties and Responsibilities of the Trial Court1. Under Government Code section 77001, the Judicial Council of California is requiredto “adopt rules which establish a decentralized system of trial court management”including:a. Local authority and responsibility of the trial courts to manage day-to-dayoperations.b. Countywide administration of the trial courts.c. The authority and responsibility of the trial courts to manage all of the following,consistent with statute, rules of court, and standards of judicial administration:i. Annual allocation of funding, including policies and procedures aboutmoving funding between functions or line items or programs.ii. Local personnel plans, including the promulgation of personnel policies.iii. Processes and procedures to improve court operations and responsiveness tothe public.iv. The trial courts of each county shall establish the means of selectingpresiding judges, assistant presiding judges, executive officers or courtadministrators, clerks of court, and jury commissioners.d. Trial court input to the Judicial Council of California budget process.e. Equal access to justice throughout California utilizing standard practices andprocedures whenever feasible.June 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProcedures6.4Trial Court OrganizationPolicy No. FIN 1.01Page 9 of 11Trial Court Operating Standards1. The Director of Branch Accounting and Procurement of the Judicial Council ofCalifornia, under the direction of the Administrative Director, periodically updates thismanual for use by the trial courts.a. This manual is intended to assist the trial courts in complying with statutoryrequirements, rules of court, and various industry and professional standards.b. Between editions of the manual, Finance Memos may be issued by the Director ofBranch Accounting and Procurement and/or the Director of Budget Services tomodify, adopt, or repeal financial policies or procedures as appropriate. TheseFinance Memos are interim policies and procedures and are considered adopted asinterim amendments to this manual immediately upon expiration of the 30-daycomment period outlined in rule 10.804(b)(1) of the California Rules of Court unlessmodified within that period. Under rule 10.804(c), superior courts must adhere tothese changes within 60 days after adoption of the amendment. This manualsupersedes all Finance Memos dated before the current manual revision date, unlessspecifically noted in the Finance Memo. On rare occasions, a Finance Memo mayneed to be issued while manual updates are in the final review and approval process.2. The trial court shall manage its operations within the limits established by the JudicialCouncil of California’s policies, procedures, rules, and programs prepared and adoptedby Judicial Council of California Staff.a. The trial courts must develop processes to guide staff in the implementation of thepolicies and procedures contained in this manual, or to perform particular procedureswith limited supervision. Local policies and procedures developed and used by thetrial court will be documented, incorporated into the local trial court manual, anddistributed to court personnel. Local policies and procedures can incorporate portionsof this manual and can be worded differently provided the policies and procedures areconsistent with the policies and procedures contained in this manual.b. To the extent that the trial court continues to rely on county processes, the trial courtcan continue to follow local county policies and procedures as long as they areconsistent with the policies and procedures in this manual.3. A presiding judge or his or her designee who wants to establish an alternative procedurewill submit a signed and dated Request for Alternative Procedure (RAP) form (copyprovided in 7.0, Associated Documents) to:Judicial Council of CaliforniaDirector of Branch Accounting and ProcurementAttn.: Trial Court Alternative Financial Policies and ProceduresJune 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 10 of 112850 Gateway Oaks Drive, Suite 300Sacramento, CA 95833-4348Email: TCFin@jud.ca.govA written response to the submission of alternative procedures will be returned to thesubmitting court within 60 business days of receipt of the document. When a Request forAlternative Procedure has been received by Judicial Council of California Staff, anacknowledgment of receipt will be returned to the submitting court. The 60-business-dayresponse time will begin once the court receives that acknowledgment of receipt. Absenta response from Judicial Council of California Staff within 60 business days, thealternative procedure will be in effect, subject to further review and consideration byJudicial Council of California Staff. Undocumented procedures or those notapproved by Judicial Council of California Staff will not be considered valid foraudit purposes.Once approved, alternative procedures must be documented by the trial court, incorporatedinto the local trial court manual, and distributed to court personnel. Any alternativeprocedure that is different from what is included in the Trial Court Financial Policies andProcedures Manual or the county’s policy document must first be approved by JudicialCouncil of California Staff.Associated DocumentsRequest for Alternative Procedure (RAP) FormJune 2020Back to Main TOCBack to Policy TOC

Trial Court Financial Policies andProceduresTrial Court OrganizationPolicy No. FIN 1.01Page 11 of 11Request for Alternative Procedure—Superior CourtRequestor InformationSuperior Court:Name:Title:Date Received by Judicial Council of California Staff:Regarding Judicial Council of California Policy No. FIN #.0#:1. Extract from current Trial Court Financial Policies and Procedures Manual regardingrequested alternative procedure.2. Describe in detail the reason(s) for the alternative procedure and include proposedalternative procedure text.Name and Title, Superior Court ofDateJudicial Council of California Staff Evaluation of RequestAccepted or Not AcceptedJudicial Council of California StaffDateJune 2020Back to Main TOCBack to Policy TOC

Judicial Council of CaliforniaTrial Court Financial Policies and ProceduresRESPONSIBILITIES AND AUTHORITYPOLICY NUMBER: FIN 1.02Revised June 2020Back to Main TOC

Trial Court Financial Policies andProceduresResponsibilities and AuthorityPolicy No. FIN 1.02Page 2 of 5Responsibilities and Authority1.0 Table of Contents1.02.03.04.05.06.0Table of ContentsPurposePolicy StatementApplicationDefinitionsText6.1 Governance and Accountability6.2 Responsibilities6.3 Duties7.0 Associated DocumentsPurposeThe purpose of this policy is to establish the general responsibilities and authorities of trial courtjudges, subordinate judicial officers, management, supervisors, and staff with regard to thefinancial operations of the court and the preparation of internal and external financial reports.Policy StatementThe trial court is subject to the rules and policies established by the Judicial Council ofCalifornia or its staff under its delegation to promote efficiency and uniformity within a systemof trial court management. Within the boundaries established by the Judicial Council ofCalifornia, each trial court has the authority and is responsible for managing its own operations.All employees are expected to fulfill at least the minimum requirements of their positions and toconduct

into your local manual, and distributed to court personnel. Unless otherwise noted, alternative procedures to those included in the . Trial Court Financial Policies and Procedures Manual. or your county's policy documents must be approved by the Judicial Council of California. Undocumented procedures or those