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Law, Justice, and Society: A Sociolegal Introduction. Chapter 4 Federal and State Courts. Federal and State Courts. “Do justice” by providing all parties with due process of law Make public policy decisions
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Law, Justice, and Society:A Sociolegal Introduction Chapter 4 Federal and State Courts
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
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 • Judges • Prosecutors • Defense Attorneys Court Actors
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