Federal and State Courts
“Do justice” by providing all parties with due process of law
Make public policy decisions Clarify the law through interpretation of statutes
and the application of general principles to specific fact patterns (Abraham 1987)
What Do Courts Do?
Federal and State Courts
The legal authority or power of a court to hear, pronounce on, and decide a case
Conferred by statute or constitution Four primary types:
– personal
– subject matter
– geographic
– hierarchical (Shreve and Hansen 1994)
Jurisdiction
Federal and State Courts
Involves the authority of the court over a person Occurs when a person comes in contact with the
court – by being a citizen of the state
– or by committing an act that contravenes the laws of that state
Personal Jurisdiction
Federal and State Courts
The authority of a court to hear a particular type of case
Limited jurisdiction: those courts that may hear only a specified type of case
Subject Matter Jurisdiction
Federal and State Courts
Authority of courts to hear cases that arise within specified boundaries (or venues)
Events that take place (either wholly or in part) within a specific area are under the jurisdiction of that court
Geographic Jurisdiction
Federal and State Courts
Division of responsibilities and functions among the various courts
Includes:– original and appellate jurisdiction
– limited (as above) and general jurisdiction
Hierarchical Jurisdiction
Federal and State Courts
General Jurisdiction: A court has authority to hear a variety of cases
Original Jurisdiction: The power of a court to hear the case initially
Appellate Jurisdiction: The Power of the court to review the decision of a lower court
– may affirm or reverse a decision, or return a case for reconsideration
– do not conduct retrials; rely on oral arguments and legal briefs
– concerned with legal errors
Hierarchical Jurisdiction (cont.)
Federal and State Courts
Two court systems in United States: – the systems of each individual state
– the federal court system• a.k.a. Article III Courts
Federal system consists of three tiers:– district courts
– intermediate appellate courts
– the Supreme Court
U.S. Court Systems
Federal and State Courts
Source: Wheeler, R. and C. Harrison. 2005. Creating the Federal Judicial System, 3rd Ed. Washington, D.C. Federal Judicial Center.
Federal and State Courts
Trial court and court of original jurisdiction for the federal court system
94 federal judicial districts Number of judges range from 2 to 22; about 650
total Subordinate judicial officers called federal
magistrates who conduct preliminary proceedings and issue warrants
District Courts
Federal and State Courts
Have original jurisdiction over civil and criminal cases involving federal statutes
Can hear trials for civil cases when there is a diversity of citizenship involved
Can hear state civil cases if the parties are diverse and if the amount in question exceeds $75,000
Most of the federal docket consists of civil cases However, this has been changing as Congress in recent
years has increased the number of federal crimes
District Courts (cont.)
Federal and State Courts
In order to keep federal judiciary independent, federal judges – are appointed for life during good behavior– cannot receive a salary reduction during their
term in office
District Courts (cont.)
Federal and State Courts
A.k.a. “circuit courts” Total of 13:
– 11 for the fifty states– 1 for the District of Columbia– 1 for the federal circuit
D.C. has its own appeals court due to the large volume of cases filed there
Court of Appeals
Federal and State Courts
Jurisdiction of the court of appeals for the federal circuit hears appeals from:
Several federal administrative agencies Patent claims Claims Court Court of International Trade
Court of Appeals (cont.)
Federal and State Courts
The remaining 11 are organized on a territorial basis Each circuit is over several states The number of judges varies
– 6 in 1st circuit
– 28 in 9th circuit Appeals heard by three judge panels which is constantly
changing Conflicting decisions can be decided by all or part of the
circuit judges sitting en banc
Court of Appeals (cont.)
Federal and State Courts
Court of last resort for the federal system and for state cases dealing with a federal constitutional issue
All decisions are precedents binding on all courts These decisions can only be refuted by other
supreme court decisions or a constitutional amendment
Supreme Court
Federal and State Courts
Has original jurisdiction in very few cases: Suits between states Suits between the United States and a state Suits between a state and a foreign citizen Appellate docket is almost entirely discretionary
Supreme Court (cont.)
Federal and State Courts
Parties seeking appeals petition for a writ of certiorari– an order to the lower court asking to send the record up to
the Supreme Court
Takes four judges to accept a case to the court’s docket—Rule of Four
Otherwise, petition is denied and lower court ruling is left undisturbed – does not count as a precendential setting
Only about 2 percent of petitions are granted cert
Supreme Court (cont.)
Federal and State Courts
Law is inherently conservative—reflected in court make-up
92 out of 111 justices have been white, Protestant, and male
1st Catholic: 1835, Roger B. Taney 1st Jew: 1916, Louis Brandeis 1st black: 1965, Thurgood Marshall 1st woman: 1981, Sandra Day O’Conner
Supreme Court Justices
Federal and State Courts
Current court has 9 justices, including 1 chief– Chief Justice John Roberts
Congress has the authority either to enlarge or reduce the number of justices
Supreme Court Justices (cont.)
Federal and State Courts
Supreme Court did not initially establish a significant presence in the affairs of the country
Today, Supreme Court plays a significant role in public affairs (Cooper 1988)
Supreme Court and the Law
Federal and State Courts
Federal Judiciary System
U . S . C o u rts o fA p p ea ls (1 2
C ircu its )
U n ited S ta te sS u p re m e C o u rt
U . S . C o u rt o fA p p ea ls fo r
F e d e ra l C ircu it
F e d e ra l T a x a n d B a n k ru p tcy
C o u rts ; a V arie ty o f
A g en c ie s a n d C o m m iss io n s
F e d e ra l C la im s C o u rt; F e d e ra l
C o u rt o f In te rn a tio n a l
T ra d e ; V ario u s A d m in is tra tiv e
A g en c ie s
F e d e ra l D is tr ic t C o u rts
Federal and State Courts
Workhorses of the American judicial system Systems differ from state to state In general, four tiers of courts: Courts of limited jurisdiction Courts of general jurisdiction Intermediate appellate courts Final appellate court, or court of last resort
The State Courts
Federal and State Courts
Deal with less serious offenses and civil cases A.k.a. justice of the peace court, magistrate’s
court, municipal court, and county court May be responsible for issuing search and arrest
warrants and conducting preliminary stages of felony cases
Civilly, handle juvenile delinquency cases, family law, and probate
Courts of Limited Jurisdiction
Federal and State Courts
Informal in nature No right to trial Many judges are not lawyers No records kept except judgment Appeals are done through a trial de novo Important for 3 reasons:
– only experience with court system for many citizens– process a tremendous number of cases– involved in crucial early stages of criminal cases
Courts of Limited Jurisdiction (cont.)
Federal and State Courts
Trial courts for civil and criminal matters Original jurisdiction for felony cases Also hear appeals (trial de novo) from lower
(limited jurisdiction) courts
Courts of General Jurisdiction
Federal and State Courts
Small state or states with small populations have only one level of appellate courts
Other states (38) have two levels– intermediate
– court of last resort (Meador 1991)
Appellate Courts
Federal and State Courts
A.k.a. Court of Appeals Hear felony appeals of right
– an appeal which state legislatures permit all criminal defendants as a matter of law
– occurs after a final order has been entered by trial court
Intermediate Appellate Courts
Federal and State Courts
Usually called the State Supreme Court 48 states have one; 2 states have two (OK and TX)
– one for civil cases and one for criminal cases Number of judges varies from 3 to 9 Courts of last resort in states with intermediate appeals courts
hear cases on a discretionary basis Most states require courts of last resort to hear death penalty
appeals Only option after state supreme courts is the U.S. Supreme
court
Court of Last Resort
Federal and State Courts
Pretrial Proceedings Jury and Jury Selection Trial Sentencing Appeals
Overview of the Criminal Process
Federal and State Courts
Begins with either the filing of a complaint or an arrest
Complaint is an accusation on the part of a private citizen or an officer accusing a specific person(s) of committing specific act(s)
Serves as the charging document for the preliminary hearing
If arrested, an officer will generally fill out a complaint later
Pretrial Proceedings
Federal and State Courts
Search and arrest warrants are obtained by police officers
Require an affidavit delineating the facts which create probable cause
After arrest, individuals are booked– an official entry into the police blotter
– indicates suspect’s name, arrest time, offense
– includes fingerprints and photographs
Pretrial Proceedings (cont.)
Federal and State Courts
First court appearance is the initial appearance Takes place in a municipal or justice of the peace
court Here, suspect is informed of
– constitutional rights
– nature of the charges
– bail is granted or denied, as well as amount if granted
Pretrial Proceedings (cont.)
Federal and State Courts
Next appearance is the preliminary hearing Magistrate determines if there is probable cause If probable cause is established, defendant is “bound
over” for trial This means that a trial date is set and defendant is
notified of pending charges Preliminary hearing is a formal adversarial proceeding
conducted in open court– “critical stage” requiring counsel
Pretrial Proceedings (cont.)
Federal and State Courts
Charges are then filed in one of two ways:– information by prosecutor– indictment by grand jury
Grand jury– typically 23 people– proceedings are not open to public– only members of grand jury, district attorney, and witnesses are
present– only hears evidence presented by state– rare when grand juries do not return indictments– grand juries are checks on overzealous prosecutors
Pretrial Proceedings (cont.)
Federal and State Courts
After charges are filed, the arraignment occurs This is a formal hearing before a felony court Defendants are advised of their rights and again informed
of the charges against them Defendant enters a plea
– guilty– not guilt– no contest (nolo contendere)– standing mute (court enters a plea of “not guilty”)– Aflord plea (not widely accepted)
Pretrial Proceedings (cont.)
Federal and State Courts
Juries replaced trial by combat and trial by ordeal Originally composed of “knowledgeable witnesses” Gradually became composed of disinterested parties Juries are finders of fact; judges are finders of law Juries need not be composed of 12 members No requirement that juries return a unanimous verdict,
unless the jury consists of less than 12 members “Jury of one’s peers” means the jury must be selected
from the community where the crime too place
Jury and Its Selection
Federal and State Courts
Jury selection begins once the trial date is set Members are randomly selected from community, generally
using automobile records or voting records Potential jurors are then summoned, i.e., venire Prospective jurors are examined by the judge and/or the
attorneys involved to determine biases, etc., to ensure impartiality – called “voir dire”
– in reality, attorneys are trying to “stack the deck” with the most favorable jurors
– jury consultants (especially for civil cases)
Jury and Its Selection (cont.)
Federal and State Courts
Prosecution and defense may seek to remove potential jurors by using challenges
Challenges for cause use a specific and valid reason to dismiss jurors; typically unlimited
Peremptory challenge do not use any reason and are generally limited– may not be based on race (Batson v. Kentucky 1986)
– may not be based on gender (J.E.B. v. Alabama 1994)
Jury and Its Selection (cont.)
Federal and State Courts
Opening statements– first prosecution (they carry the burden of proof)– defense can reserve its opening statement until after the prosecution’s
case-in-chief
Prosecution’s case-in-chief– must establish each element of the crime beyond a reasonable doubt
(the burden of proof in criminal trials)– accomplishes this with evidence and witnesses
Defense’s case-in-chief– not required– several types of defense, such as alibi and affirmative
The Trial
Federal and State Courts
Prosecution may choose to rebut the defense’s case Closing arguments
– prosecution goes last
Jury instructions and jury deliberation
The Trial (cont.)
Federal and State Courts
Not guilty verdict = defendant is set free and protected by the double jeopardy clause
If guilty = sentence must be imposed– judge imposes sentence after issuing for a presentence
investigation report from probation
– in death penalty cases, a jury must sentence defendant
– Ring v. Arizona 2002
Types of sentences: incarceration, suspended sentence, probation, fines, etc.
Sentencing
Federal and State Courts
Two ways to challenge a trial’s outcome: direct or indirect
Direct = challenges the defendant’s conviction Indirect = challenges the state’s power to incarcerate
the defendant Habeas corpus is an indirect appeal
– “you have the body”
– requires the person to whom it is direct to either produce the person named in the writ or release that person from custody
Appeals
Federal and State Courts
Congress recently restricted the use of habeas corpus by imposing time limits on federal petitions if there is evidence of intentional delay to injure prosecutor’s case
Congress and the Supreme Court have limited habeas corpus by restricting how such appeals are filed and pursued– requiring all applicable issues in one writ, rather than issuing
several consecutive writs (Maahs and Hemmens 1998)
Recent dynamics in Habeas Corpus
Federal and State Courts
Serve as a referee Responsible for enforcing court rules Instruct the jury on the law Determine the law Not representative of American society:
– mostly white, male, and upper-middle class
Judges
Federal and State Courts
Appointment – generally by chief executive
Election– partisan
– nonpartisan
– by legislature
Merit system
Judge Selection Methods
Federal and State Courts
A.k.a. Missouri plan A nonpartisan commission draws up a list of
qualified candidates Governor appoints new judges from this list After a period of time after their selection, these
judges stand for election (retention)
Merit System
Federal and State Courts
1789 Judiciary Act provided for a U.S. attorney for each court district; appointed by President
1870, Congress authorized creation of the Department of Justice with an attorney general and assistants
AG is a political appointee who administrates prosecution priorities for deputy attorney generals
Deputy AG’s are appointed by the President and confirmed by the Senate
Assistant U.S. Attorneys are not appointees
Federal Prosecutors
Federal and State Courts
Usually elected; have appointed assistants who do most of the trial work
Duty is to prosecute cases in the name of the people
To do justice by pursuing those who have committed crimes
Have tremendous power in deciding whom to prosecute coupled with little oversight
State Prosecutors
Federal and State Courts
Represent their clients as effectively as possible within the courtroom rules
Focus on five areas (Uphoff 1992):
1. Ensure that the defendant’s rights are not violated
2. Ensure that the defendant is aware of all options
3. Provide the best, ethical defense
4. To investigate and prepare the defense
5. To argue for lowest possible sentence or best possible plea bargain
Defense Attorneys