Law and Justice Chapter 4 power point

Federal and State Courts

Chapter 4

What Do Courts Do?

• “Do justice”• Provide all parties with due process of law

• Make public policy decisions• Clarify law through interpretation of

statutes and application of general principles to specific fact patterns (Abraham, 1987)

Jurisdiction

• Defined• Comes from Latin terms juris and dicere• Conferred by statute or constitution• Four primary types:

• Personal• Subject matter• Geographic• Hierarchical

Personal Jurisdiction

• Involves authority of court over person• Occurs when person comes in contact

with court• By being citizen of state, or• By committing an act that contravenes laws of

that state

Subject Matter Jurisdiction

• Involves authority of court to hear particular type of case• Also known as limited jurisdiction

• Those courts that may hear only a specified type of case

Geographical Jurisdiction

• Involves authority of court to hear cses that arise within specified boundaries• Venues

• Events must take place in whole or in part within specific area under jurisdiction of that court

• Not always clear-cut• Continuing offenses

• Most crimes can only take place in one place• Requests for change of venue

Hierarchical Jurisdiction

• Involves division of responsibilities and functions among various courts

• Includes:• Limited and general • Original and appellate

• Limited • Already discussed

• General • Involves authority of court to hear variety of

cases

Hierarchical Jurisdiction

• Original• Involves authority of court to hear case initially

• Appellate• Involves authority of court to review decision of

lower court• May affirm or reverse decision or return case for

consideration• Does not conduct retrial

• Relies on oral arguments and legal briefs• Concerned with legal errors

U.S. Court Systems

• Two court systems in United States• Systems of each individual state• The federal court system

• As known as Article III courts• Jurisdictions frequently overlap• Article III of Constitution

• Also authorized “such inferior courts as Congress” chose to create

• Number of justices nor form of potential “inferior” courts was described

U.S. Court Systems

• First ideas of creating “inferior” federal courts was not welcomed• Prominent writers argued for strong

federal system• Judiciary Act of 1789

• Set number of Supreme Court justices at six• Also created three federal circuit courts and

over one hundred district courts

The Federal Courts

• First set of intermediate-level appellate courts more than one hundred years later in 1891• With purely appellate jurisdiction

• Federal court system consists of three tiers:• District Courts• Intermediate appellate courts• Supreme Court of the United States (SCOTUS)

The Federal Courts: District Courts• Trial court and court of original

jurisdiction for federal court system• Ninety-four federal judicial districts• Number of judges range from two to

twenty-nine• About 677 total

• Federal magistrates• Subordinate judicial officers who conduct

preliminary proceedings and issue warrants

The Federal Courts: District Courts• Have original jurisdiction over both civil and

criminal cases involving federal statutes• Can hear civil cases with diversity of

citizenship• Can hear state civil cases if amount in

question exceeds $75,000 and parties are diverse• Even if it involves state law

• Most of docket consists of civil cases

The Federal Courts: District Courts• Not courts of general jurisdiction

• Only types specified by acts of Congress• To protect independence, federal judiciary

• Appointed for life pending good behavior• Cannot receive salary reduction while in office

The Federal Courts: Court of Appeals• As known as circuit courts• Total of thirteen

• Eleven for fifty states• One for federal circuit• One for District of Columbia

• District of Columbia has own appeals court due to large volume of cases filed there

The Federal Courts: Court of Appeals• Jurisdiction of federal circuit hears

appeals from:• Several federal administrative agencies• Patent claims• Claims court• Court of International Trade

The Federal Courts: Court of Appeals• Remaining eleven organized on territorial

basis• Each circuit presides over several states

• Number of judges varies• Six in First Circuit• Twenty-nine in Ninth Circuit

• Largest circuit is Ninth

The Federal Courts: Court of Appeals

Source: Wheeler, R., & C. Harrison (2005). Creating the Federal Judicial System. 3rd ed.Washington, DC: Federal Judicial Center.

The Federal Courts: Court of Appeals• Appeals heard by three-judge panels that

are constantly changing• If conflicts arise between two panels

• Decision can be decided en banc• Does not have to be all members in larger

circuits• As few as eleven for Ninth Circuit

Federal Judiciary System

U. S. Courts ofAppeals (12

Circuits)

United StatesSupreme Court

U. S. Court ofAppeals for

Federal Circuit

Federal Tax and Bankruptcy

Courts; a Variety of

Agencies and Commissions

Federal Claims Court; Federal

Court of International

Trade; Various Administrative

Agencies

Federal District Courts

The Federal Courts: Supreme Court of the United States (SCOTUS)

• Court of last resort for federal system and state cases dealing with federal constitutional issue• All decisions are precedents binding on all

courts• Decisions can be refuted only by other

Supreme Court decisions or constitutional amendment


• Has original jurisdiction in very few cases:• Suits between United States and a state• Suits between a state and a foreign citizen• Suits between states

• Appellate docket almost entirely discretionary• Parties seeking appeals must petition for

a writ of certiorari• Oder to lower court to “send the record up”


• Rule of four• The number of justices that must vote to hear

a case• Refusal to accept is not considered

decision on merits of case• Has no binding precedential value

• Only about 2% of cases are granted certiorari

The Supreme Court Justices

• Law is inherently conservative• Reflected in court make-up

• 92 of 112 justices have been white, Protestant, and male• First Catholic: Roger B. Taney (1835)• First Jew: Louis Brandeis (1916)• First black: Thurgood Marshall (1965)• First woman: Sandra Day O’Connor (1981)

The Supreme Court Justices

• Current Court has nine justices, including one chief justice• Chief Justice John Roberts (since 2005)

• Congress has authority to reduce or enlarge number of justices• Court did not immediately establish

significant presence in affairs of country• During term of John Marshall

• Today Court plays significant role in public affairs

The State Courts

• Workhorses of 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: Courts of Limited Jurisdiction• Deal with less serious offenses and civil

cases• Referred to by variety of names• 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

The State Courts: Courts of Limited Jurisdiction• Proceedings often more informal in nature• Generally no right to trial• Appeals done through a trial de novo• No records kept except for judgement

• No requirement to do so• Are important for three reasons

• May be only experience with court system for most• Process tremendous number of cases• Involved in crucial early stages of criminal cases

The State Courts: Courts of General Jurisdiction• Trial courts for civil and criminal matters• Original jurisdiction for felony cases• Generally authorized to hear many

matters not exclusively designated for courts of limited jurisdiction• May sometimes have concurrent jurisdiction

with lower courts• May also hear appeals from lower courts• Precise workload varies by jurisdiction

The State Courts: Intermediate Appellate Courts

• Small states or those with small populations have only one level of appellate courts• Other states (thirty-nine) have two levels

• Intermediate• Court of last resort

• Largely a creation of the twentieth century• Referred to by variety of names

The State Courts: Intermediate Appellate Courts

• Hear felony appeals of right• Those state legislatures permit all defendants

as matter of law• Occur after final order has been entered by

trial court• Number of judges vary• Many states have more than one

The State Courts: Final Appellate Court or Court of Last Resort

• Usually called state supreme court• Forty-eight states have one• Two states have two (Oklahoma and Texas)

• One for civil cases • One for criminal cases

• Number of judges vary from three to nine• Those in states with intermediate

appellate levels hear majority of cases on discretionary basis

The State Courts: Final Appellate Court or Court of Last Resort

• Most states require these courts to hear death penalty appeals• Those with only one appellate level are

mandated by law to hear all appeals• Only option after state supreme court is

the United States Supreme Court

Overview of the Criminal Process• Pretrial proceedings• Jury and jury selection• Trial• Sentencing• Appeals

Pretrial Proceedings

• Begins with either filing of complaint or arrest• Complaint defined• Serves as charging document for preliminary

hearing• If person arrested, police generally fill out

complaint later• Search and arrest warrants obtained by police

officers• Require affidavit delineating facts creating

probable cause


• After arrest, individuals are booked• Official entry into police blotter• Indicates suspect’s name, arrest time, offense• Includes fingerprints and photographs

• First court appearance in initial appearance• Takes place in municipal or justice of peace court• Here suspects informed of:

• Rights• Nature of charges• Whether bail is granted (and amount) or denied


• Next appearance is preliminary hearing• Magistrate determines if probable cause exists

• If yes, defendant “bound over” for trial• Means trial date is set and defendant notified

of pending charges• Preliminary hearing is formal adversarial

proceeding conducted in open court• Deemed a “critical stage” requiring counsel

• Charges then filed in one of two ways• Information or indictment


• Grand jury• Typically twenty-three people• Proceeding not open to public• Formed only at discretion of prosecutor in

some states• Does not include defendant or defense

counsel• Hears only evidence presented by state• Rare when indictments not returned• Are checks on overzealous prosecutors


• After charges filed, arraignment occurs• Formal hearing before felony court

• Defendants advised of rights and again informed of charges• Defendant enters plea:

• Guilty• Not guilty• No contest (nolo contendere)• Standing mute (entered as “not guilty” plea)• Alford plea (not widely accepted)

The Jury and Its Selection

• Replaced trial by combat or ordeal• Originally composed of knowledgeable

witnesses• Could end up with witness/judgement wisdom• Gradually became disinterested parties

• Finders of fact, not law• No requirement to return unanimous

verdict• Unless consisting of fewer than twelve

members


• “Jury of one’s peers”• Must be selected from community where

crime took place• Selection begins once trial date is set• Members randomly selected

• Automobile and voting records usually used• Potential jurors summoned (venire)


• Prospective jurors examined to determine biases (ensure impartiality)• Called voir dire• Stacking the deck in reality• Jury consultants

• Especially for civil cases• Both sides may seek to remove potential

jurors by using challenges


• Challenges for cause• Use specific and valid reason to dismiss juror• Typically unlimited number allowed

• Peremptory challenges• Do not use any reason• Typically limited number allowed• May not be based on race (Batson v. Kentucky,

1986)• May not be based on gender (J.E.B. v.

Alabama, 1994)

The Trial

• Opening statements• First prosecution (carry burden of proof)• Defense can reserve opening until after

prosecution presents case-in-chief• Prosecution’s case-in-chief

• Must establish each element of crime beyond reasonable doubt• Burden of proof in criminal trial

• Accomplishes this with evidence and witnesses

The Trial

• Defense’s case-in-chief• Not required• Several types of defenses can be used

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

• Prosecution goes last• Jury instructions and jury deliberation

Sentencing

• If found not guilty• Set free, protected by double jeopardy

• If found guilty• Sentence imposed by judge after presentence

investigation report from probation• In death penalty cases, jury must sentence

• Ring v. Arizona (2002)• Types of sentences

• Incarceration, suspended sentences, probation, fines, etc.

Appeals

• Two ways to challenge trial outcome• Direct appeal

• Challenges conviction• Indirect appeal

• Challenges state’s power to incarcerate• Habeas corpus is indirect appeal

• “You have the body”• Requires person directed at to either justify

confinement of person named or release them from custody

Recent Dynamics in Habeas Corpus• Congress restricted use of habeas corpus

• Imposed time limits on federal petitions if evidence there is intentional delay to injure prosecutor’s case

• Congress and Supreme Court have limited habeas corpus• Restricting how they are filed and pursued• Require all issues be presented in one writ

rather than several consecutive writs

Court Actors

• Judges• Prosecutors• Defense attorneys

Court Actors: Judges

• Serve as referees• Responsible for enforcing court rules• Instruct jury on law• Determine law• Not representative of American society

• Mostly white, male, upper middle class

Judge Selection Methods

• Appointment• Generally by chief executive

• Election• Partisan• Nonpartisan• By legislature

• Merit system

Merit System

• Created by American Judicature Society in 1909• As known as the Missouri plan• Become popular only recently

• Four states used in 1960• About half used by 1998

• A nonpartisan commission draws up list of qualified candidates

• Governor appoints new judges from this list• After period of time after selection, they stand for

election• Retention

Court Actors: Federal Prosecutors• No public prosecutors under early

common law• 1789 Judiciary Act

• Provided U.S attorney for each court district• Appointed by president

• In 1870, Congress authorized creation of Department of Justice• Provided for attorney general and assistants

Court Actors: Federal Prosecutors• Attorney general is political appointee

• Administrates prosecution priorities for deputy attorneys for deputy attorneys general

• Deputy attorneys general are appointed by president and confirmed by Senate• Assistant U.S. attorneys are not

appointees

Court Actors: State Prosecutors• Usually elected

• Have appointed assistants who do most of trial work

• Duty is to prosecute cases in name of people• Duty is to do justice

• Pursuing those who have committed crimes• Have tremendous power in deciding

whom to prosecute coupled with little oversight

Court Actors: Defense Attorneys• Expected to represent clients as effectively

as possible within courtroom rules• Focus on five areas:

• Ensure that the defendant’s rights are not violated

• Ensure that the defendant is aware of all options• Provide the best, ethical defense• Investigate and prepare the defense• Argue for lowest possible sentence or best

possible plea bargain

Types of Defense Counsel

• Privately retained counsel• Public defenders• Court-appointed counsel• Contract system

The Legal Profession

• Has had long, colorful history• Until 1970s little control held over who

called themselves a lawyer• In 1878 the American Bar Association was

created• Tasked with promulgating regulations and

standards for practicing law• Eventually all states created one and took

over responsibility for their own regulations

The Legal Profession

• Bar membership requirements today (at minimum)• Degree from accredited law school• Passage of bar exam• Background check

• Legal education• Casebook approach• Socratic method