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Chapter 8

Copyright © by Houghton Mifflin Harcourt Publishing Company

US Government: Principles in Practice


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Chapter 8


Chapter 8: The Federal Courts and the Judicial Branch Overture

Section-1 The Federal Court System

Section-2 Lower Federal Courts

Section-3 The Supreme Court


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• The United States has a dual court system.• The Judiciary Act of 1789 organized the federal courts into three tiers. Today these tiers

consist of the district courts, the courts of appeals, and the Supreme Court.• Through its powers of judicial review, the judicial branch plays a critical role in the system of

checks and balances.

Section 1 at a GlanceThe Federal Court System


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Main IdeaThe Framers created an independent judicial branch as part of the separation of powers of the national government. At the federal level, the judicial branch consists of three tiers of courts, each performing a different function.

Reading Focus• How is jurisdiction determined in the American court system?• How is the federal court system structured?• How are federal judges appointed?• What is the judicial branch’s role in the system of checks and balances?

The Federal Court System


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The American Court System A Dual Court System

• Constitution set up federal court system to clarify rulings between state courts and set national standard.

• Authority of state and federal court systems from different sources: powers of state courts from state constitutions and state laws; authority of federal courts from Constitution and federal law

Jurisdiction• State courts have jurisdiction over state law; federal courts have jurisdiction over federal

law.• Court that first hears a case has original jurisdiction; if appealed to another court, that

court has appellate jurisdiction.• Federal courts have exclusive jurisdiction over matters involving U.S. Constitution• Cases involving residents of different states and sums above $75,000 fall under concurrent

jurisdiction, both state and federal courts; plaintiff may file case in either state or federal court


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Making InferencesWhy is jurisdiction complicated by the nation’s dual court system?

Reading Check


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Reading Check

Answer(s): Some cases fall under both state and federal jurisdiction.

Making InferencesWhy is jurisdiction complicated by the nation’s dual court system?


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Judiciary Act of 1789• Outlined three-tiered system of

federal courts; has remained virtually the same since original proposal

• Supreme Court is at top; below are circuit courts, district courts

District Courts• Each state must have one district

court• District courts have original

jurisdiction over most federal cases

Structure of the Federal Court System

The Constitution left much of the structure of the U.S. federal court system to the discretion of Congress.


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Courts of Appeals• Originally circuit courts, courts of appeals hear appeals from district courts and some

federal agencies• 12 circuits with a court of appeals in each circuit

The Supreme Court• Supreme Court is mainly an appellate court; has original jurisdiction over some cases as

outlined in the Constitution• Court chooses which cases it hears; usually concern issues of constitutionality

Other Courts• Some other courts created by Congress, known as Article I courts, have limited

jurisdiction

Structure of the Federal Court System {continued}


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SummarizingWhat are the three tiers of the federal court system?

Reading Check


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Reading Check

Answer(s): the district courts, the courts of appeals, and the Supreme Court

SummarizingWhat are the three tiers of the federal court system?


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Legal Expertise• Most judges have been lawyers

Judicial Philosophy• Presidents usually nominate judges

with similar judicial philosophy• Judicial restraint: judges interpret

Constitution based on Framers’ original intention

• Judicial activism: meaning of Constitution should be adapted to meet modern needs

• Most judges respect precedent

Appointing Federal Judges

Presidents usually consider four items when nominating a federal judge: legal expertise, party affiliation, judicial philosophy, and the opinions of the Senate.

Party Affiliation• Presidents usually nominate judges

from their political party


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Appointing Federal Judges {continued}

Opinions of the Senate• President consults senators before making judicial nominations• Tradition of senatorial courtesy: senator from same state as judicial nominee and same

political party as president can block nomination to federal district court for almost any reason

• Individual senators cannot block nominations to courts of appeals or Supreme Court


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Drawing ConclusionsHow does the appointment process ensure that voters have some input on the selection of judges and justices?

Reading Check


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Reading Check

Answer(s): Nominations are made by the president and nominees must be approved by the Senate; both president and senators are subject to popular election.

Drawing ConclusionsHow does the appointment process ensure that voters have some input on the selection of judges and justices?


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Judicial Review• Primary check the judicial branch

performs on executive and legislative branches

Checks and Balances

Checks on the Judiciary• Appointment process is check on

judiciary by executive and legislative branches

• Congress has power to impeach and remove judges from office

• Amendment process is legislative check on the judiciary


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SummarizingWhat is the judiciary’s primary check on the other two branches?

Reading Check


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Reading Check

Answer(s): judicial review

SummarizingWhat is the judiciary’s primary check on the other two branches?


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Debating the Issue: Judicial Activism or Judicial Restraint?

Should judges be guided by a philosophy of judicial activism or judicial restraint?

The question of how much power the judiciary should have in interpreting the Constitution is not one that is likely to have a final answer anytime soon. Most judges declare their belief in judicial restraint. But the power of judicial review, the fundamental power of the judiciary, demands that judges be willing to overturn the acts of the legislative and executive branches—in other words, that they be judicial activists. The tension between judicial restraint and judicial activism is built in to the fabric of judicial decision-making.


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Debating the Issue


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Section 2 at a Glance

• The courts in the 94 federal judicial districts have original jurisdiction over most federal and civil cases. They handle more than 300,000 cases a year.

• The 12 federal courts of appeals have appellate jurisdiction only.• Under its Article I powers, Congress has established a number of specialized lower courts to

hear cases of limited subject-matter jurisdiction.

Lower Federal Courts


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Reading Focus• What are the roles, jurisdiction, and officers of the federal district courts?• What are the roles, jurisdiction, and procedures of the federal courts of appeals?• What are the functions of some of the other federal courts?

Main IdeaCongress has created a system of lower courts for the federal judicial system. Each court has a specific role to play in the judicial branch.

Lower Federal Courts


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The Jurisdiction of District Courts• Constitution mandates cases involving

foreign governments, residents of different states be handled in district court

• Federal violations: from violation of employment laws to handled in district courts

• Panels of citizens called grand juries hear evidence in serious criminal cases.

• District courts have separate bankruptcy court

Court Officials• Judge is court’s highest official;

judges instruct juries about law, make sure proper trial procedures are followed

• Magistrate judges oversee early hearings in criminal trials, also hear civil cases or minor criminal cases called misdemeanors

• Clerks of the court handle non-judicial tasks, maintaining records

Federal District Courts

The 94 federal court districts handle more than 300,000 cases per year.


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Other Courtroom Officials•Each federal court district has a U.S. attorney to represent the U.S. government.•U.S. attorneys prosecute individuals charged with federal crimes.•Public defenders are lawyers appointed by court to represent defendants who lack money to hire their own.•U.S. marshals provide security and police protection at federal courthouses.

Federal District Courts {continued}


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Identifying Supporting DetailsAside from district court judges, who are some of the other officials who make up a district court?

Reading Check


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Reading Check

Answer(s): magistrate judges, clerks of court, U.S. attorneys, public defenders, U.S. marshals

Identifying Supporting DetailsAside from district court judges, who are some of the other officials who make up a district court?


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Federal Courts of Appeals

Appeals Court Procedure• Most appeals heard by panel of judges,

reviews court record and reads briefs; appeals courts rely on facts of original case, do not retry

• Burden of proof lies with appellant; cases mostly overturned only when improper procedure was followed

Appeals Court Ruling• Court’s ruling usually stands;

occasionally reviewed by larger panel of judges or returned to district court for more hearings

The Federal Circuit• Court of Appeals for Federal Circuit

has nationwide appellate jurisdiction: cases dealing with patents, trademarks, government contracts, international trade

Purpose of the Courts of Appeals• Appeals courts: middle tier in

hierarchy of federal court system• Hear cases on appeal from district

courts within their circuit• Few appeals succeed


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SequencingWhat is the path by which a case travels through a court of appeals?

Reading Check


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Reading Check

Answer(s): The appellant shows that the original ruling was based on a legal mistake. A panel of judges reviews the trial court record and reads briefs submitted by both sides and may hear oral arguments. The government’s side is then presented. The court makes its ruling, which is usually the final word. The case may be sent back to district court, or it may undergo review by the U.S. Supreme Court.

SequencingWhat is the path by which a case travels through a court of appeals?


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Other Federal Courts

U.S. Tax Court• Hears cases involving federal tax

disputes

U.S. Court of Federal Claims• Hears cases involving disputes over

veterans’ benefits

The Federal Circuit• Hears cases involving claims over

$10,000 owed by U.S. government.• United States has sovereign

immunity• In some circumstances the

government can be sued

U.S. Court of International Trade• Hears cases involving laws and rules

of international trade


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National Security Courts• Foreign Intelligence Surveillance Court

reviews requests to spy on “agents of a foreign power” in U.S.

• Alien Terrorist Removal Court reviews requests to remove suspected terrorists from U.S.

Military Commissions• Outside normal judicial system, rulings

may be challenged in federal court

Washington, D.C., and Territorial Courts• Congress created trial and appellate

courts in locations outside federal system

U.S. Court of Appeals for the Armed Forces• Hears cases involving appeals from

courts-martial, or military courts

Other Federal Courts {continued}


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Reading Check

SummarizingWhat are some of the reasons why Congress created additional courts?


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Reading Check

Answer(s): to hear particular types of cases over very limited jurisdiction; to hear cases in the District of Columbia and U.S. territories

SummarizingWhat are some of the reasons why Congress created additional courts?


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Section 3 at a Glance

• The importance of the Supreme Court has grown since the Court’s early days. As it gained in stature, the Court also tended to experience political shifts mirroring those in society at large.

• Supreme Court justices are nominated by the president and must undergo a lengthy Senate confirmation process.

• The Supreme Court meets from October to June or July, studying briefs, hearing oral arguments, discussing cases in conference, and issuing opinions on about 100 cases a year.

The Supreme Court


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The Supreme Court

Reading Focus• What are some of the highlights of Supreme Court history?• How are Supreme Court justices chosen?• What are the typical procedures of the Supreme Court?

Main IdeaThe Supreme Court is the highest court in the nation and the most important component of the judicial branch. It serves as the final word on questions of federal law and the Constitution.


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Interpreters of the Constitution


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Highlights of Supreme Court History

The Marshall Court•Chief Justice John Marshall established that courts have power of judicial review.•Marshall led Supreme Court for more than 30 years; Court decisions expanded power of federal government, helped shape U.S. economy

Early Visions•Constitution does not explicitly define roles or structure of Supreme Court•Hamilton’s writings in The Federalist explained critical role of Supreme Court in providing checks on executive and legislative branches

Dred Scott• Supreme Court sided against Scott, held he was still a slave• Court ruled: Congress did not have power to outlaw slavery in territories; therefore

Missouri Compromise unconstitutional• Court’s decision in Scott increased tensions leading up to Civil War


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From Reconstruction to Plessy• Economic regulation and civil rights dominated Supreme Court• Court’s narrow interpretation of 13th, 14th, 15th Amendments left to states

protection of newly freed African Americans’ civil rights• Court made much regulation of economy unconstitutional

The Court and the New Deal• Court continued to quash efforts at economic regulation• Court found many New Deal programs unconstitutional, eventually deferred to

Congress regarding economic measures• Court became more liberal during Roosevelt’s time in office

From the 1950s to the Present• Court under Chief Justice Earl Warren was considered activist• Achieved many civil rights victories, including landmark Brown decision mandating

desegregation of public schools• Today Court is more conservative


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Reading Check

Making GeneralizationsHow has the Supreme Court been shaped by politics?


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Reading Check

Answer(s): Supreme Court justices are appointed by presidents, who usually make appointments according to their own political leanings.

Making GeneralizationsHow has the Supreme Court been shaped by politics?


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Landmark Supreme Court Cases Plessy v. Ferguson (1896)

Why It Matters: In Plessy v. Ferguson, the Supreme Court examined a Louisiana state law requiring racial segregation on public transportation and determined whether it violated the equal protection clause of the Fourteenth Amendment.


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Choosing a Nominee • Constitution: no formal requirements

for Supreme Court justices; most justices have served in government, had legal background

• Presidents typically nominate individuals from same political party who share their judicial philosophy

• Presidents first gauge Senate support or opposition for nominee

Confirmation Hearings • Confirmation process: Senate

Judiciary Committee questions nominee; nominees hesitant to share opinions on controversial issues

• After hearing, committee votes on nomination; full Senate vote usually matches committee’s; most nominees are confirmed

Choosing Supreme Court Justices


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Reading Check

SequencingWhat is the process a nominee undergoes to join the Supreme Court?


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Reading Check

Answer(s): The president chooses a nominee. The Senate Judiciary Committee holds hearings and votes on the nomination. The full Senate may debate the nomination before voting to confirm or reject the nominee.

SequencingWhat is the process a nominee undergoes to join the Supreme Court?


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The Term Begins • Court session from October until June or July• Justices work in two-week blocks, first hearing arguments from lawyers and then ruling

on cases presented• Each justice has four law clerks as assistants

Selecting Cases • Court usually chooses which cases it hears; most cases come from federal court of

appeals; others from high state courts or are cases of Supreme Court’s original jurisdiction• If Court grants appellant a writ of certiorari, it agrees to hear the case; if denied, lower

court’s ruling stands• If case is on Court’s docket, usually it deals with important issue of constitutional or

federal law

Supreme Court Procedures


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Briefs and Oral Arguments• Justices first study briefs, then hear oral arguments; lawyers usually have 30

minutes to present their side of a case

Opinions• Chief justice leads discussion of case in private; Court issues formal, written opinion

exploring issues, precedents, reasoning behind majority opinion• Concurring opinions sometimes accompany majority opinion; justices who disagree with

majority opinion may issue dissenting opinion

Court Orders• Supreme Court gives plenary review to about 100 cases per term• Where Court does not fully review a case, it may issue court order directing lower court to

reconsider

Supreme Court Procedures {continued}


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Reading Check

Identifying Supporting DetailsWhat are the three main stages that cases before the Supreme Court typically must go through?


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Reading Check

Answer(s): for a case to come on appeal from a federal court of appeals, or through the highest state courts; the Court then decides which cases to hear

Identifying Supporting DetailsWhat are the three main stages that cases before the Supreme Court typically must go through?


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We the People: The Citizen and the Constitution

The Supreme Court and the System of Checks and BalancesBecause its members do not stand for election, the Supreme Court is considered the least democratic of the three branches of government. What is the source of its power, and how does the Constitution place checks on that power?

• What is judicial review?• What checks exist on the power of the Supreme Court?


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