law, justice, and society: a sociolegal introduction chapter 4 federal and state courts

Law, Justice, and Society:A Sociolegal Introduction

Chapter 4

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?


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


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


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


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


Division of responsibilities and functions among the various courts

Includes:– original and appellate jurisdiction

– limited (as above) and general jurisdiction

Hierarchical Jurisdiction


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.)


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


Source: Wheeler, R. and C. Harrison. 2005. Creating the Federal Judicial System, 3rd Ed. Washington, D.C. Federal Judicial Center.


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


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.)


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.)


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


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.)


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.)


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


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.)


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.)


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


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.)


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 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


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


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


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.)


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


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


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


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


Pretrial Proceedings Jury and Jury Selection Trial Sentencing Appeals

Overview of the Criminal Process


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


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.)


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



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



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



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)



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


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.)


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.)


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


Prosecution may choose to rebut the defense’s case Closing arguments

– prosecution goes last

Jury instructions and jury deliberation

The Trial (cont.)


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


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


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


Judges Prosecutors Defense Attorneys

Court Actors


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


Appointment – generally by chief executive

Election– partisan

– nonpartisan

– by legislature

Merit system

Judge Selection Methods


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


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


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


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


Privately retained counsel Public Defenders Court-appointed counsel Contract system

Types of Defense Counsel

law, justice, and society: a sociolegal introduction chapter 4 federal and state courts

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