JUS 261 Module One Short Paper Guidelines and Rubric
The Module One short paper examines the American federal court system. This paper provides an opportunity for you to check and demonstrate your knowledge
of how a case moves through the three tiers of this court system, from the trial court to the U.S. Supreme Court. Reference your textbook reading and the
module resources in your submission.
Specifically, the following critical elements must be addressed:
Tiers: Describe the three tiers of the American federal court system.
Roles: Describe the role that each tier plays in the American federal court system.
Types of Cases: Identify the types of cases heard in each of the federal courts and which federal courts hear them.
Process: Explain the process by which a case might reach the U.S. Supreme Court, identifying any other court or courts in which the case might be heard
between the trial court and the U.S. Supreme Court.
Rubric
Guidelines for Submission: Your short paper must be submitted as a 1- to 2-page Microsoft Word document with double spacing, 12-point Times New Roman
font, one-inch margins, and at least three sources cited in APA format.
Critical Elements
Tiers
Exemplary (100%)
Meets “Proficient” criteria and
includes specific examples
based on research
Proficient (85%)
Accurately describes the tiers of
the American federal court
system using specific details
Needs Improvement (55%)
Describes the tiers of the
American federal court system
but descriptions are inaccurate
or lack specific details
Not Evident (0%)
Does not describe the tiers of
the American federal court
system
Value
20
Roles
Meets “Proficient” criteria and
includes specific examples
based on research
Accurately describes the role
that each tier plays in the
American federal court system
using specific details
Does not describe the role that
each tier plays in the American
federal court system
20
Types of Cases
Meets “Proficient” criteria and
includes specific examples
based on research
Accurately identifies the types
of cases that are heard in each
of the federal courts, including
which federal courts hear them
Describes the role that each tier
plays in the American federal
court system but description is
inaccurate or lacks specific
details
Identifies the types of cases
that are heard in each of the
federal courts, including which
federal courts hear them, but
information is inaccurate or
lacks specific details
Does not identify the types of
cases that are heard in each of
the federal courts, or which
federal courts hear them
20
Process
Meets “Proficient” criteria and
explanation is exceptionally
detailed
Articulation of
Response
Submission is free of errors
related to citations, grammar,
spelling, syntax, and
organization and is presented in
a professional and easy-to-read
format
Explains the process by which a
case might reach the U.S.
Supreme Court, identifying any
other court or courts along the
way in which that case might be
heard
Submission has no major errors
related to citations, grammar,
spelling, syntax, or organization
Explains the process by which a
case might reach the U.S.
Supreme Court, but explanation
is unclear or is missing key
details or courts along the way
in the process
Submission has major errors
related to citations, grammar,
spelling, syntax, or organization
that negatively impact
readability and articulation of
main ideas
Does not explain the process by
which a case might reach the
U.S. Supreme Court and does
not identify any other court or
courts along the way in which
that case might be heard
Submission has critical errors
related to citations, grammar,
spelling, syntax, or organization
that prevent understanding of
ideas
Total
30
10
100%
THE FEDERAL COURT SYSTEM
IN THE UNITED STATES
An Introduction for Judges and Judicial
Administrators in Other Countries
Judicial Services Office
Department of Program Services
Administrative Office of the United States Courts
Thurgood Marshall Federal Judiciary Building
Washington, D.C. 20544
2016
4th Edition
The Administrative Office of the U.S. Courts developed this publication to provide
an introduction to the federal judicial system, its organization and administration, its
relationship to the legislative and executive branches of the federal government, and
its relationship to the state court systems. The Administrative Office of the U.S. Courts
is the judicial branch’s central support agency responsible for providing a broad range
of management, legal, technical, communications, and other support services for the
administration of the federal courts.
Preface
This booklet is designed to introduce judges and judicial administrators in other
countries to the U.S. federal judicial system, its organization and administration, and its
relationship to the legislative and executive branches of the government. The Judicial
Services Office of the Administrative Office of the U.S. Courts developed this booklet to
support the work of the Judicial Conference Committee on International Judicial Relations.
The Chief Justice presides over the Judicial Conference of the United States, the
national policymaking body of the federal courts. Congress passed legislation establishing
the earliest form of the Judicial Conference in 1922. Today, 26 judges comprise the
Conference—the chief judge of each of the 13 federal courts of appeals, 12 district (trial)
judges elected from each of the geographic circuits, and the chief judge of the U.S. Court
of International Trade.
The Chief Justice appoints judges and a small number of outside experts to serve
on subject-matter committees that assist the Judicial Conference with its work. The
Committee on International Judicial Relations—the committee responsible for this
publication—is composed of several federal judges and a representative from the U.S.
Department of State, who, among other things:
• coordinate the federal judiciary’s relationship with foreign judiciaries and other
organizations interested in international judicial relations and the establishment and
expansion of the rule of law; and
• serve as a point of contact for foreign courts and international organizations
communicating with the Chief Justice, the Judicial Conference, and the federal
judiciary.
Table of Contents
The United States Constitution and the Federal Government........................................................................1
The Legislative Branch.........................................................................................................................................2
The Executive Branch...........................................................................................................................................3
The Judicial Branch................................................................................................................................................3
The Role of the Federal Courts in American Government................................................................................5
The Federal Courts and Congress ................................................................................................................5
The Federal Courts and the Executive Branch.........................................................................................5
The Federal Courts and the Public................................................................................................................6
The Structure of the Federal Courts.............................................................................................................................8
Trial Courts................................................................................................................................................................8
Appellate Courts.................................................................................................................................................10
The United States Supreme Court..............................................................................................................11
The Jurisdiction of the Federal Courts.....................................................................................................................12
Relationship Between the State Courts and the Federal Courts..................................................12
Types of Cases That May Be Filed in the Federal and State Courts...........................................13
United States Federal Judges.......................................................................................................................................15
Appointment of Judges...................................................................................................................................15
Article III Judges...................................................................................................................................15
Other Federal Judges.........................................................................................................................16
State Judges...........................................................................................................................................16
Federal Judicial Ethics.......................................................................................................................................17
Judges’ Compensation.....................................................................................................................................18
Senior and Retired Judges..............................................................................................................................18
Judicial Education...............................................................................................................................................18
Judges’ Staff...........................................................................................................................................................19
Distinctive Features of the American Judicial System......................................................................................20
The Adversary System......................................................................................................................................20
The Common-Law System.............................................................................................................................20
Fees and Costs of Litigation...........................................................................................................................21
Execution of Judgments..................................................................................................................................21
Procedural Rules for Conducting Litigation...........................................................................................22
Reporting of Judicial Proceedings..............................................................................................................22
Publication of Court Opinions......................................................................................................................23
The Federal Judicial Process in Brief.........................................................................................................................24
Civil Cases...............................................................................................................................................................24
Criminal Cases......................................................................................................................................................26
Jury Service............................................................................................................................................................30
Bankruptcy Cases................................................................................................................................................32
The Appeals Process.........................................................................................................................................35
Federal Judicial Administration...................................................................................................................................37
Individual Courts.................................................................................................................................................37
Court Staff..............................................................................................................................................................38
Clerk of the Court...............................................................................................................................................38
Other Central Court Staff................................................................................................................................39
The Circuit Judicial Councils..........................................................................................................................39
The Judicial Conference of the United States.......................................................................................40
The Administrative Office of the United States Courts....................................................................41
The Federal Judicial Center............................................................................................................................42
The United States Sentencing Commission...........................................................................................43
The Judiciary Budget.........................................................................................................................................43
Courthouse Space, Facilities, and Security.............................................................................................44
Information Technology in the Judicial Branch....................................................................................44
Strategic Planning and Management Efficiency in the Federal Courts....................................45
Accountability......................................................................................................................................................................47
Disciplinary Mechanisms.................................................................................................................................47
Other Formal Mechanisms.............................................................................................................................48
Informal Mechanisms.......................................................................................................................................49
Commonly Asked Questions About the Federal Judicial Process..............................................................50
Common Legal Terms......................................................................................................................................................54
List of Features
U.S. Constitution, Article III...............................................................................................................................................3
Geographic Boundaries of the United States Courts of Appeals
and the United States District Courts..........................................................................................................................9
The United States Federal Courts...............................................................................................................................10
Examples of Jurisdiction in the Federal and State Courts..............................................................................14
The Code of Conduct for United States Judges..................................................................................................17
Juror Qualifications and Exemptions........................................................................................................................31
Terms of Jury Service........................................................................................................................................................31
Types of Bankruptcy Proceedings..............................................................................................................................33
Characteristics of Federal Judicial Administration..............................................................................................38
Court Support Staff...........................................................................................................................................................39
Current Judicial Conference Committees...............................................................................................................40
THE UNITED STATES
CONSTITUTION
AND THE FEDERAL
GOVERNMENT
The U.S. Constitution, adopted in 1789
and amended only rarely since then, is
the supreme law of the United States.
The Constitution established a republic
under which the individual states retain
considerable sovereignty and authority.
Each state, for example, has its own
elected executive (governor), legislature,
and court system. The federal, or national,
government is one of strong, but limited,
powers. The federal government may
exercise only the powers specified in
the Constitution itself. The Constitution
specifies that all other powers are reserved
to the states and the people. This system of
divided powers is known as “federalism.”
The Bill of Rights guarantees that the
government will not interfere with an
individual’s exercise of certain fundamental
rights. Adopted as the first ten
amendments to the Constitution in 1791,
the Bill of Rights prohibits the government
from infringing upon an individual’s rights
to free speech, freedom of assembly,
freedom to seek redress of grievances,
freedom from unreasonable searches and
seizures, due process of law, protection
against compelled self-incrimination,
protection against seizure of property
without just compensation, a speedy and
public trial in criminal cases, trial by jury in
both criminal and civil cases, and assistance
of counsel in criminal prosecutions.
The Constitution also established
three separate branches of the U.S.
Government—the legislative (Article I),
executive (Article II), and judicial (Article III)
branches. The constitutional system divides
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................1
powers among these three branches of
the federal government and establishes
a system of “checks and balances.” Each
branch is formally separate from the other
two, and each has certain constitutional
authority to check the actions of the other
branches.
THE LEGISLATIVE BRANCH
Congress, the national legislature of the
United States, is composed of two houses
or chambers—the Senate and the House of
Representatives. Each state is represented
by two senators who are elected for sixyear terms. One-third of the Senate is
elected every two years. Members of the
House of Representatives are elected from
local districts within states. Each state
receives a number of representatives in
proportion to its population. The entire
House is elected every two years.
To become law, proposed legislation
must be passed by both houses of
Congress and signed by the president. If
the president does not sign, or vetoes, a
bill, it may still be enacted, but only by a
two-thirds vote of each house of Congress.
The U.S. government is not a
parliamentary or cabinet system of
government, as in the United Kingdom and
many other democracies around the world.
Under the U.S. Constitution, the president
is both the head of state and the head of
the government. The president appoints a
cabinet—consisting of the heads of major
executive departments and agencies—but
neither the president nor any member of
the cabinet sits in Congress. The president’s
political party, moreover, does not need
to hold a majority of the seats in Congress
to stay in office. In fact, it is not unusual
for one or both houses of Congress to be
controlled by the opposition party. Under
the Constitution’s structure of separate but
equal branches of government, there are
no provisions to dissolve the government
or call for early general elections.
The Senate and House of
Representatives both establish their own
rules of procedure and designate their
members to serve on subject-matter
committees. The committee assignments
in Congress are based primarily upon
seniority. Congress carries out the
bulk of its work in committee, where
legislators draft laws, appropriate funds for
government operations, and hold hearings.
Congressional hearings develop the record
on matters under a committee’s jurisdiction
and may involve overseeing government
agencies, evaluating programs, or
investigating issues. Congress normally
requests and occasionally compels
government administrators and citizen
experts to testify before its committees.
The federal courts, for example, maintain
regular communications with the Judiciary
Committees and the Appropriations
Committees of the Senate and the House
of Representatives, and judges selected
to represent the courts regularly present
testimony to congressional committees on
issues of concern to the judiciary.
Two central features of the
government established under the U.S.
Constitution are:
• federalism; and
• checks and balances among the three
separate branches of the government.
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THE EXECUTIVE BRANCH
The president is elected every four
years and under the Constitution may serve
no more than two terms in office. Once
elected, the president selects a cabinet,
each member of which must be confirmed
by the Senate. Each cabinet member is
the head of a department in the executive
branch. The cabinet includes, for example,
the Secretary of State, the Secretary of
Defense, the Secretary of the Treasury, the
Secretary of Homeland Security, and the
Attorney General.
The president, the cabinet, and other
members of a president’s administration
are responsible for operating the executive
branch of the federal government and for
executing and enforcing the laws. Although
the Secretary of Homeland Security
oversees some law enforcement agencies,
such as Immigration and Customs
Enforcement and the Secret Service, the
Attorney General is the government’s chief
law enforcement officer. The Attorney
General heads the U.S. Department
of Justice and is responsible for the
administration of the Bureau of Prisons;
the Federal Bureau of Investigation; the
Bureau of Alcohol, Tobacco, Firearms and
Explosives; the U.S. Marshals Service; and
other law enforcement organizations. The
Attorney General also holds the authority
to prosecute crimes and represent the
government’s legal interests in civil cases.
To serve as an adjunct to the Attorney
General, the president appoints a U.S.
attorney to serve as the chief prosecutor
in each of the 94 federal judicial districts.
The U.S. attorneys report to the Attorney
General and may be removed from office
by the president.
U.S. Constitution, Article III
The judicial Power of the United States,
shall be vested in one supreme Court,
and in such inferior Courts as the
Congress may from time to time ordain
and establish. The Judges, both of the
supreme and inferior Courts, shall hold
their Offices during good Behaviour,
and shall, at stated Times, receive for
their Services, a Compensation, which
shall not be diminished during their
Continuance in Office.
U.S. attorneys represent the
government in all criminal cases in federal
court and most civil suits against the
government, making the United States
the chief litigant in the federal courts. To
prevent any undue influences or sway
over the courts, the executive branch of
government plays no role in administration
or budgeting for the federal courts.
THE JUDICIAL BRANCH
The framers of the Constitution
considered an independent federal
judiciary essential to ensure fairness and
equal justice to all citizens of the United
States. As a result, the federal judiciary is
a separate, self-governing branch of the
government. The Congress enacts the
laws, the president and the many executive
branch departments and agencies act
on and enforce the laws, and the courts
interpret the law. The courts play no active
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................3
role in enforcing the laws—that is the role
of the president and the executive branch
departments and agencies.
The courts interpret the law by issuing
judgments on actual legal disputes
brought before them by adversarial parties.
Federal judges also interpret and issue
rulings on the constitutionality of laws
when parties to a dispute challenge a
law’s constitutionality. The federal courts
are often called the guardians of the
Constitution, because court rulings protect
the rights and liberties guaranteed by the
Constitution.
The Constitution protects the
independence and integrity of the judicial
branch in two principal ways. First,
federal judges appointed under Article
III of the Constitution may serve for life
and may only be removed from office
through impeachment and conviction
by Congress for “Treason, Bribery, or
other high Crimes and Misdemeanors.”
Second, the Constitution provides that the
compensation of Article III federal judges
“shall not be diminished during their
Continuance in Office,” which means that
neither the president nor Congress can
reduce the salaries of most federal judges.
These two protections help an independent
judiciary to decide cases free from popular
passion and political influence.
4............................................................................................................................The Administrative Office of the U.S. Courts
THE ROLE OF THE
FEDERAL COURTS
IN AMERICAN
GOVERNMENT
THE FEDERAL COURTS AND
CONGRESS
Congress has four basic responsibilities
under the Constitution that determine how
the federal courts will operate. First, the
legislature authorizes the creation of all
federal courts below the Supreme Court,
defines the jurisdiction of the courts, and
decides how many judges there should
be for each court. Second, Congress
approves the federal courts’ budget and
appropriates money each year to fund
the judiciary. The judiciary’s budget is a
very small part—about two-tenths of one
percent—of the entire federal budget.
Third, through the confirmation process,
the Senate determines which of the
president’s judicial nominees ultimately
become federal judges. Fourth, judges
appointed under Article III of the U.S.
Constitution may only be involuntarily
removed from office after being impeached
by the House of Representatives and
convicted of treason, bribery, or other high
crimes and misdemeanors in a trial before
the Senate.
THE FEDERAL COURTS AND
THE EXECUTIVE BRANCH
Under the Constitution, the president
nominates Article III constitutional judges
to a lifetime appointment, subject to
approval by the Senate. The president
usually consults senators or other elected
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................5
officials concerning potential candidates
for vacancies on the federal courts.
The president’s power to appoint new
federal judges is not the judiciary’s only
interaction with the executive branch.
The Department of Justice, which is
responsible for prosecuting federal crimes
and for representing the government in
civil cases, is the most frequent litigator
in the federal court system. Executive
branch agencies also assist the judiciary
with certain administrative operations.
The U.S. Marshals Service, for example,
provides security for federal courthouses
and judges, and the General Services
Administration builds and maintains
federal courthouses.
Military courts, a number of specialized
subject-matter tribunals, and some
executive agencies adjudicate disputes in
the first instance involving specific federal
laws and benefits programs. These bodies
are not part of the judiciary established
under Article III of the Constitution, so
their jurisdiction is limited. Administrative
law judges and non-judiciary tribunals are
limited to resolving disputes on questions
arising from matters such as the tax laws;
patent and copyright laws; labor laws;
social security statutes and regulations;
approval of radio and TV licenses; and
the like. Appeals of final decisions in
these cases typically may be taken to the
Article III courts.
THE FEDERAL COURTS AND
THE PUBLIC
With few exceptions, the federal judicial
process is open to the public. Federal
courthouses are designed to provide public
access to court proceedings and inspire
respect for the tradition and purpose of
the American judicial process. In addition,
many courthouses are historic buildings
or landmark examples of contemporary
architecture.
A citizen who wishes to observe a court
session may go to a federal courthouse,
check the court calendar, which is posted
on a bulletin board or electronic kiosk,
and watch almost any proceeding. Anyone
may review a case file using an electronic
access terminal at the clerk of court’s office.
Court schedules, dockets, judgments,
opinions, and pleadings are also available
to the public in electronic form through the
internet.
Limited radio or television coverage of
arguments before the appellate courts is
available in some federal courts, but, unlike
most state courts, the federal courts do not
permit broadcast coverage of most trials.
The right of public access to court
proceedings is partly derived from the
Constitution and partly from court and
common-law tradition. By conducting their
judicial work in public view, judges enhance
public confidence in the courts, allow
citizens to learn firsthand how our judicial
system works, and facilitate development
of the law.
Although there is a very strong
presumption that all court records and
proceedings are open to the public, in
some situations public access may be
limited. In a high-profile trial, for example,
there may not be enough space in the
courtroom to accommodate everyone
who would like to observe. The court may
also restrict access to the courtroom for
security or privacy reasons, such as when
a juvenile or a law enforcement informant
6............................................................................................................................The Administrative Office of the U.S. Courts
is testifying. Finally, certain documents
may be placed under seal by the judge,
meaning that they are not available to the
public. Examples of sealed information may
include confidential business records, law
enforcement reports, criminal investigation
documents, juvenile records, and cases
involving national security issues.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................7
THE STRUCTURE
OF THE FEDERAL
COURTS
The federal courts have jurisdiction to
hear a broad variety of cases. The same
federal judges handle civil and criminal
cases; public law and private law disputes;
cases involving individuals, corporations,
and government entities; appeals from
administrative agency decisions; and law
and equity matters. All federal judges
have the authority to decide issues
regarding the constitutionality of laws and
governmental actions that arise in their
cases. The United States does not have a
separate system of constitutional courts.
TRIAL COURTS
The U.S. district courts are the principal
trial courts in the federal system. The
district courts have jurisdiction to hear
nearly all categories of federal cases. There
are 94 federal judicial districts, including
one or more in each state, the District of
Columbia, and Puerto Rico. In the U.S.
territories of Guam, the Commonwealth
of the Northern Marianna Islands, and
the U.S. Virgin Islands, similarly structured
territorial district courts act as the federal
trial courts.
Each U.S. judicial district includes a
bankruptcy court operating as a unit of
the district court. The bankruptcy court
has jurisdiction over almost all matters
involving insolvency cases, except criminal
issues. Once a case is filed in a bankruptcy
court, related matters pending in other
federal and state courts may be removed
to the bankruptcy court. The bankruptcy
8............................................................................................................................The Administrative Office of the U.S. Courts
courts are administratively managed by
bankruptcy judges.
Two special trial courts in the U.S.
federal judiciary have nationwide
jurisdiction. The U.S. Court of International
Trade addresses cases involving
international trade and customs issues. The
U.S. Court of Federal Claims has jurisdiction
over disputes involving federal contracts,
the taking of private property by the
federal government, and a variety of other
monetary claims against the United States.
Trial court proceedings are normally
conducted by a single judge, sitting alone
or with a jury of citizens as finders of fact.
The U.S. Constitution provides for a right to
trial by a jury in many categories of cases,
including: (1) all criminal prosecutions
except petty offenses; (2) civil cases in
which the right to a jury trial applied
under English law at the time of American
independence; and (3) cases in which the
Congress has expressly provided for the
right to trial by jury.
In the U.S. territories of Guam, the
Northern Marianna Islands, and the U.S.
Virgin Islands, territorial district courts
hear trials on matters arising under federal
law and resolve bankruptcy cases. These
jurisdictions may limit the application of
U.S. constitutional provisions in favor of
conflicting local laws (such as laws limiting
Geographic Boundaries of the United States Courts of Appeals
and the United States District Courts
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................9
the right to trial by jury). Territorial district
judges also serve term appointments and
can be removed from office for cause.
APPELLATE COURTS
The 94 judicial districts are organized
into 12 regional circuits, each of which
has a U.S. court of appeals. A court of
appeals hears appeals from the district
courts located within its circuit, as well as
appeals from certain federal administrative
agencies. In addition, the U.S. Court
of Appeals for the Federal Circuit has
nationwide jurisdiction to hear appeals in
specialized cases, such as those involving
patent laws and cases decided by the U.S.
Court of International Trade or the U.S.
Court of Federal Claims.
Litigants have a right of appeal in every
federal case in which a district court enters
a final judgment. For a court of appeals to
review a matter, one or more parties to a
case must file a timely appeal challenging
the lower court’s decision. When an appeal
is filed, a three-judge panel of the court of
appeals typically reviews the decision. The
court of appeals does not hear additional
evidence and normally must accept the
factual findings established by the trial
court. If additional fact finding is necessary,
the court of appeals may remand the
case to the trial court or administrative
agency for further development of the
record. Remand is unnecessary in most
cases, however, and the court of appeals
either affirms or reverses the lower court
or agency decision in a written order or
opinion.
In cases of unusual importance, a court
of appeals may vote to sit “en banc” to
review the decisions of a three-judge panel.
The United States
Federal Courts
Supreme Court
United States Supreme Court
Appellate courts
U.S. Courts of Appeals (12 regional
courts of appeals and the national
jurisdiction Court of Appeals for the
Federal Circuit)
Trial courts
U.S. District Courts (94 judicial districts
and the U.S. bankruptcy courts)
U.S. Court of International Trade
U.S. Court of Federal Claims
Other federal tribunals that are not
within the judicial branch
Military Courts (trial and appellate)
U.S. Court of Appeals for Veterans
Claims
United States Tax Court
Administrative agency offices and
boards
10............................................................................................................................The Administrative Office of the U.S. Courts
During an en banc sitting, all the appellate
judges in the circuit will normally come
together to rehear a case. The full court will
then either affirm or reverse the panel with
an en banc decision. The largest courts
of appeals may split themselves into two
en banc panels that operate in the same
manner.
THE UNITED STATES
SUPREME COURT
The U.S. Supreme Court is the highest
court in the United States. The Court
consists of the Chief Justice of the United
States and eight Associate Justices. The
Court sits en banc, with all nine justices
hearing and deciding cases together, unless
one of the justices does not participate in
the case for some reason, such as an ethics
conflict.
The Supreme Court’s caseload consists
of matters assigned to the Court and
a small number of carefully selected
discretionary cases. The Constitution and
federal law provide that the Supreme Court
will act as the court of first instance or
exercise mandatory appellate review in a
few designated cases, such as boundary
disputes between the states. The remainder
of the Supreme Court docket is determined
electively when at least four Supreme
Court justices agree to hear a case. The
Court typically selects cases that present
an important constitutional question
or issue of federal law that needs to be
clarified, such as when the regional courts
of appeals “split” on a question of law and
issue contradictory rulings.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................11
THE JURISDICTION
OF THE FEDERAL
COURTS
RELATIONSHIP BETWEEN
THE STATE COURTS AND THE
FEDERAL COURTS
Although federal courts are located in
every state, they are not the only forum
available to litigants. In fact, the great
majority of legal disputes in American
courts are addressed in the separate state
or local court systems. Most of the state
or local court systems, like the federal
judiciary, have trial courts of general
jurisdiction, intermediate appellate courts,
and a supreme court. They may also have
specialized lower level courts, county
courts, municipal courts, small claims
courts, or justices of the peace to handle
minor matters.
The state courts have jurisdiction
over a wider variety of disputes than the
federal courts. State courts, for example,
have jurisdiction over virtually all divorce
and child custody matters, probate and
inheritance issues, real estate questions,
and juvenile matters. Most criminal cases,
contract disputes, traffic violations, and
personal injury cases are also resolved in
the state courts.
Federal courts decide cases that
involve the U.S. government or its officials,
the U.S. Constitution or federal laws, or
controversies between states or between
the United States and foreign governments.
A case also may be filed in federal court—
even if no question arising under federal
law is involved—if the litigants are citizens
of different states or the dispute arises
12............................................................................................................................The Administrative Office of the U.S. Courts
between citizens of the United States and
those of another country.
In the initial stages of any lawsuit the
plaintiff must assert the legal basis for
the court’s jurisdiction over the case and
the court must make an independent
determination that it has jurisdiction to
address the case. If a case is filed initially in
a federal court, but the court determines
that it lacks jurisdiction to adjudicate, the
case must be dismissed. Under certain
circumstances, a case that was improperly
filed in federal court may be “remanded”
to a state court that has jurisdiction to hear
the case. Conversely, a case that was filed
in a state court may, if certain conditions
are met, be “removed” to a federal court.
The federal and state courts are
required to extend “full faith and credit”
to each other’s respective judgments.
But under the Supremacy Clause of the
Constitution, a federal law preempts any
conflicting state law.
TYPES OF CASES THAT MAY
BE FILED IN THE FEDERAL
AND STATE COURTS
The table on page 14 gives some
examples of the cases that may be
addressed exclusively in the state courts
or in the federal courts, as well as some
examples of concurrent jurisdiction (cases
that may be heard in either state or federal
court).
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................13
Examples of Jurisdiction in the Federal and State Courts
STATE COURTS
crimes under state legislation
state constitutional issues and
cases involving state laws or
regulations
family law issues
real property issues
landlord and tenant disputes
most private contract disputes
(except those resolved under
bankruptcy law)
most issues involving the
regulation of trades and
professions
most professional malpractice
issues
most issues involving the
internal governance of
business associations, such as
partnerships and corporations
most personal injury lawsuits
most workers’ injury claims
probate and inheritance
matters
most traffic violations
FEDERAL COURTS
STATE OR FEDERAL
COURTS
crimes under statutes enacted
by Congress
crimes punishable under both
federal or state law
most cases involving federal
laws or regulations (e.g., tax,
Social Security, broadcasting,
civil rights)
federal constitutional issues
matters involving interstate
and international commerce,
including airline and railroad
regulation
cases involving securities
and commodities regulation,
including takeovers of publicly
held corporations
certain civil rights claims
“class action” cases
environmental regulation
certain disputes involving
federal law
admiralty cases
international trade law matters
patent, copyright, and other
intellectual property issues
cases involving rights under
treaties, foreign states, and
foreign nationals
state law disputes when
“diversity of citizenship” exists
bankruptcy matters
disputes between states
habeas corpus actions
traffic violations and crimes
occurring on certain federal
property
14............................................................................................................................The Administrative Office of the U.S. Courts
UNITED STATES
FEDERAL JUDGES
APPOINTMENT OF JUDGES
Article III Judges
Justices of the Supreme Court, judges
of the courts of appeals and the district
courts, and judges of the U.S. Court
of International Trade are appointed
under Article III of the Constitution and
essentially may serve for life. Article III
judges are nominated and appointed by
the president of the United States and
must be confirmed by the Senate. The
judiciary plays no role in the political
process surrounding the nomination or
confirmation of judges.
The primary criterion for appointment
to a federal judgeship is a person’s total
career and academic achievements. No
examinations are administered to judicial
candidates. Rather, a person seeking a
judgeship is required to complete a lengthy
set of forms that set forth in detail his
or her personal qualifications and career
accomplishments, including such matters
as academic background, job experiences,
public writings, intellectual pursuits, legal
cases handled, and outside activities.
Candidates also are subject to extensive
interviews, background investigations,
and follow-up questioning prior to their
nomination.
Politics may be an important factor
in the appointment of Article III judges.
Nominees are normally selected by the
president from a list of candidates provided
by senators or other office holders within
the state in which the appointment is to
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................15
be made. Article III judges are nominated
by the president, usually from among the
ranks of prominent practicing lawyers,
lower federal court judges, state court
judges, or law professors who reside within
the district or circuit where the court sits.
The president’s nominee must appear in
person at a hearing before the Senate
Judiciary Committee, and the Senate votes
to confirm each judge.
Each federal judge is appointed to
fill a specified, authorized judgeship in a
particular district or circuit. Judges have
no authority to hear cases in another
federal jurisdiction unless they are formally
designated and assigned to the other court
as a visiting judge. Courts seek assistance
from visiting judges to manage temporary
increases in caseloads, cases that present
a conflict of interest for local judges, or
backlogs that result from unfilled judicial
vacancies.
Once appointed, the Constitution gives
Article III judges two key protections—
lifetime appointment and the guarantee
that their pay will not be decreased while
they are in office. The Constitution’s
protections limit the political pressures
on the judicial branch and give judges
some protection when they issue
unpopular decisions. To complement these
protections, Article III judges can only be
removed from office for “high crimes and
misdemeanors” by Congress through the
impeachment process. However, judges can
be prosecuted for criminal conduct while in
office.
Other Federal Judges
In addition to the judgeships
established under Article III of the U.S.
Constitution, the judicial branch includes
U.S. Court of Federal Claims judges,
bankruptcy judges, and magistrate judges
who exercise specific authorities delegated
to them by Congress or assigned to them
by the district courts.
U.S. Court of Federal Claims judges
are appointed for terms of 15 years by the
president, subject to confirmation by the
Senate, and they can be removed from
office for cause by a majority vote of the
judges of the U.S. Court of Appeals for the
Federal Circuit.
Bankruptcy judges and magistrate
judges are judicial officers of the district
courts, appointed by the courts of appeals
and the district courts, respectively. The
courts select bankruptcy and magistrate
judges after evaluating applicants with
the assistance of merit selection panels
composed of local lawyers and other
citizens.
Bankruptcy judges serve 14-year terms,
while magistrate judges are appointed
for 8-year terms. Before reappointing
a bankruptcy or magistrate judge, the
court must publish a public notice
seeking comments on the incumbent’s
performance. The appointing court
then convenes a panel to consider
public comments and make a meritbased recommendation on whether the
incumbent should be reappointed. During
their term of service, bankruptcy and
magistrate judges may also be removed
for cause by a majority of the judges of the
appointing court.
State Judges
State judges handle most cases in the
United States, but they are not part of the
federal court system. Rather, state court
judges are a part of state court systems
16............................................................................................................................The Administrative Office of the U.S. Courts
established by state governments. Like
federal judges, state judges are required
to support the U.S. Constitution and
may invalidate state laws that they find
inconsistent with the Constitution. State
judges are selected in several ways,
according to state constitutions and
statutes. In most states, judges are either
selected by popular vote in a general
election or initially appointed by the state
governor and later subject to a vote on
retention in the general election.
FEDERAL JUDICIAL ETHICS
By statute, federal judges may not
hear cases in which they have personal
knowledge of the disputed facts, a
personal bias concerning a party to the
case, any earlier involvement in the case
as a lawyer, or a financial interest in any
party or subject matter of the case. Federal
judges also are subject to the Code of
Conduct for U.S. Judges, a set of ethical
principles and guidelines adopted by the
Judicial Conference of the United States.
The Code of Conduct—and the opinions
interpreting it—provide guidance for
judges on issues of judicial integrity and
independence, judicial diligence and
impartiality, permissible extrajudicial
activities, and the avoidance of impropriety
or the appearance of impropriety.
The Code of Conduct encourages
judges to engage in activities to improve
the law, the legal system, and the
administration of justice. Indeed, federal
judges have a distinguished history of
service to the legal profession through
their writing, speaking, and teaching.
Income from teaching and similar outside
activities is limited to approximately 15
percent of the judge’s salary. Furthermore,
judges may not engage in political activity,
the practice of law, or business activity
(except investments).
Judges may request specific guidance
on ethical issues from the Judicial
Conference’s Committee on Codes of
Conduct. The Committee’s judges are
authorized to draft the codes of conduct
and render written advisory opinions to
judges and court employees interpreting
the code. The Committee also publishes
selected advisory opinions based on the
facts presented in common inquiries. The
published opinions summarize a case
and do not identify any particular judge.
The advisory opinions are made available
within the judiciary and are posted on the
courts’ public website.
The Code of Conduct for
United States Judges
A judge should uphold the integrity
and independence of the judiciary.
A judge should avoid impropriety and
the appearance of impropriety in all
activities.
A judge should perform the duties
of the office fairly, impartially, and
diligently.
A judge may engage in extrajudicial
activities that are consistent with the
obligations of judicial office.
A judge should refrain from political
activity.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................17
In addition to peer regulation under
the judiciary’s ethics rules, federal laws
enable broad public scrutiny of any
potential conflicts of interest presented
by judges’ financial holdings. A federal
statute requires all judges—as well as
other high-level government officials—to
file annual financial disclosure statements
that list their assets, liabilities, positions,
gifts, and reimbursements (and those of
their spouses and minor children). The
disclosure statements for federal judges
and certain judicial branch officials are
maintained by the Administrative Office
and are available to the public on request.
Public interest groups, journalists, and
publishing companies often request
copies of the reports and post them on
the internet so that the public, particularly
litigants, can search for potential conflicts
presented by judges’ finances.
JUDGES’ COMPENSATION
Federal judges receive salaries and
benefits set by Congress. Judicial salaries
and employment benefits are comparable
to those received by Members of Congress
and other senior government officials.
The Constitution provides that the
compensation of an Article III federal judge
may not be reduced during the judge’s
service.
SENIOR AND RETIRED
JUDGES
Court of appeals, district court, and
U.S. Court of International Trade judges
have life tenure under Article III of the
Constitution. They are, therefore, not
required to retire at any age. Life tenured
judges may voluntarily elect to retire from
active service on full salary if they are at
least 65 years old and meet certain years
of service requirements. Most Article III
judges who retire continue to hear cases on
a full or part-time basis as “senior judges.”
Retired bankruptcy judges, magistrate
judges, and U.S. Court of Federal Claims
judges also may be “recalled” to active
service. Without the service donated by
senior and retired judges, the judiciary
would need many more judges to handle
its cases.
JUDICIAL EDUCATION
Federal judges are not required to
attend judicial training before they are
appointed. Judges may elect to attend
orientation programs on substantive
legal topics, the art of judging, and
case management shortly after they are
appointed and throughout their judicial
careers. The new judges’ orientation
and other legal education programs are
sponsored by the Federal Judicial Center
(FJC), the judicial branch’s principal
research and training resource. The
FJC also develops a number of special
focus programs on new legislation,
developments in case law, and specific
judicial skills, often in conjunction with
law schools. The programs address
specific areas of the law in depth, such
as intellectual property and the use of
scientific evidence. In addition to live
seminars and workshops, the FJC produces
videos, audio programs, manuals, and
other materials to assist judges.
18............................................................................................................................The Administrative Office of the U.S. Courts
The Administrative Office conducts
administrative training programs for judges
on the use of technology and management
issues such as pay and benefits, hiring
staff, judicial branch organization and
governance, judicial ethics, and personal
security. The Administrative Office also
offers special orientation programs on
management and operations for new chief
judges.
The FJC, the Administrative Office, and
the U.S. Sentencing Commission jointly
operate a television network that streams
daily education and information programs
for judges and court staff. In addition,
several individual courts conduct in-house
orientation and mentoring programs
for new judges, as well as roundtable
discussions or other substantive programs
for all judges.
JUDGES’ STAFF
In addition to court staff appointed by
the court as a whole, each judge is allowed
to hire a small personal staff known
as “chambers” staff. Judges may hire a
secretary or judicial assistant to help them
with administrative matters and law clerks
to help them review records, research legal
issues, and draft papers. Chambers staff is
subject to the ethical restrictions contained
in the Code of Conduct for Judicial
Employees.
The duties of chambers staff vary
depending on the particular work and
management preferences of each judge
or court. Judges carefully supervise and
review the work of their chambers staff. By
using their staff to conduct legal research
and other tasks that do not involve
exercising the discretionary powers of a
judge, each judge is better able to perform
the tasks of judging.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................19
DISTINCTIVE
FEATURES OF
THE AMERICAN
JUDICIAL SYSTEM
THE ADVERSARY SYSTEM
The litigation process in U.S. courts
is referred to as an “adversary” system
because it relies on the litigants to
present their dispute before a neutral
fact finder. According to American legal
tradition, inherited from English common
law, the clash of adversaries allows the
jury or judge to determine the truth and
resolve the dispute. In some other legal
systems, judges or magistrates conduct
investigations to find relevant evidence or
obtain testimony from witnesses. In the
United States, however, litigants and their
attorneys collect evidence and prepare
it for trial, without assistance from the
court. The essential role of the judge is to
structure and regulate the development
of issues by adversaries and to ensure that
the law is followed and fairness is achieved.
THE COMMON-LAW SYSTEM
The American judicial process is
based largely on the English common law
system. In a common law system, legal
interpretations and distinctions recognized
in court rulings establish precedents that
become binding on lower courts in the
jurisdiction. Rather than remaining a fixed
body of legal rules, as in the codes of civil
law systems, precedent allows the law to
develop over time, yet remain predictable.
In the past century, Congress has
passed elaborately detailed statutes
in most areas of federal law. The
20............................................................................................................................The Administrative Office of the U.S. Courts
comprehensive statutes, sometimes
referred to as “codes,” establish legal
principles and specific provisions governing
most aspects of a particular field of law.
These bodies of statutory law include, for
example, the Bankruptcy Code, the Internal
Revenue Code, the Social Security Act, the
Securities Act, and the Securities Exchange
Act. The states have also adopted various
comprehensive codes, such as the Uniform
Commercial Code. These statutes are often
further developed and interpreted by
implementing regulations promulgated by
federal and state administrative agencies.
Despite the adoption of comprehensive
codes and the general growth of statutory
law over the last century, the American
courts continue to interpret statutes and
regulations as common law, or according
to “precedent.” Thus, for example, a
bankruptcy court applying the Bankruptcy
Code will consult relevant case law to
determine whether there are Supreme
Court or court of appeals rulings governing
how a particular code section should
be applied in certain situations. Lawyers
who appear before the court may then
argue that the facts in their case are
similar to those in a case that resulted in a
favorable ruling, or they could argue that
an unfavorable precedent does not apply
because the factual and legal situation
in their case is critically distinct from the
precedent.
All judges in the United States,
regardless of the level of the court in which
they sit, exercise the power of judicial
review. While judges normally presume
the laws or actions that they are reviewing
are valid, they will invalidate statutes,
regulations, or executive actions that they
find to be clearly inconsistent with the
U.S. Constitution. All judges are required
to place the Constitution above all other
laws. Judges will, therefore, not only abide
by precedent in interpreting statutes,
regulations, and actions by members of the
executive branch, but will seek to interpret
them consistently with the Constitution.
FEES AND COSTS OF
LITIGATION
Another characteristic of the American
judicial system is that litigants typically
pay their own costs of litigation whether
they win or lose. The federal courts
charge litigants moderate fees when they
initiate a case, submit subpoenas, and
in relation to certain other filings with
the court. Most fees are set by Congress.
Civil plaintiffs who cannot afford to pay
court fees may seek permission from the
court to proceed without paying those
fees. Other costs of litigation, such as
attorneys’ and experts’ fees, are more
substantial. In some categories of civil
cases, including cases alleging certain civil
rights violations, a winning plaintiff may
recover attorney costs from the defendant.
In criminal cases, the government pays
the costs of investigation and prosecution.
The court also provides a governmentfunded attorney, necessary experts, and
investigators to any criminal defendant
who is unable to afford an attorney.
EXECUTION OF JUDGMENTS
Execution and enforcement of
judgments is the responsibility of the
parties to the litigation, not the courts.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................21
In criminal cases, the U.S. Marshals
Service (an organization within the
executive branch’s Department of Justice)
is responsible for prisoners sentenced
to incarceration until they are delivered
to the Bureau of Prisons (also within the
Department of Justice). Defendants may
also be ordered to pay a fine. Any fines
are paid to the clerk of court who records
the transaction and processes the money
as specified in the court order. Should the
defendant fail to pay a required fine, the
Department of Justice will enforce the
court order by pursuing actions to collect
the money.
In civil cases, the parties themselves
are responsible for executing court orders.
Money judgments are frequently covered
by insurance, and in those cases insurance
companies are usually quick to resolve the
details of enforcing the judgment.
Individuals attempting to enforce a
judgment against an uncooperative party
have several options. In general, a civil
judgment becomes a lien attached to any
real property of the losing party, and the
judgment earns interest at a specified rate
of return until it is collected. In federal
court, the winning party may obtain the
assistance of the court to examine the
debtor and protect property in the debtor’s
possession. A winning party may also apply
to a state court for assistance in enforcing
a federal court judgment through state law
remedies such as garnishing the wages or
attaching the assets of the losing party.
PROCEDURAL RULES FOR
CONDUCTING LITIGATION
The Rules Enabling Act of 1934 gives
the federal judiciary the responsibility to
issue rules of procedure and evidence
that govern all federal court proceedings.
Under the Act’s authority, the judiciary
has established federal rules of evidence,
and rules of civil, criminal, bankruptcy,
and appellate procedure. The rules are
designed to eliminate unjustifiable expense
and delay and to promote simplicity,
fairness, and the just determination of
litigation. Committees of judges, lawyers,
and academics appointed by the Chief
Justice draft the rules. The Administrative
Office publishes the draft rules for public
comment, the Judicial Conference of the
United States then approves the rules, and
the Supreme Court formally promulgates
the rules. Congress has a limited period of
time to review the rules and vote to reject
or modify them before they enter into
force.
REPORTING OF JUDICIAL
PROCEEDINGS
All trial and pretrial proceedings
conducted in open court are recorded by
a court reporter or sound equipment. The
court reporter is a person specially trained
to record all testimony and produce a
word-for-word account of court action
called a transcript. A certified written
transcript may be prepared from the court
reporter’s record or a sound recording
if necessary for the appeal of a court’s
decision, or upon request by one of the
litigants or another person. The party
22............................................................................................................................The Administrative Office of the U.S. Courts
requesting a transcript must pay a fee to
cover the costs of preparing the transcript.
PUBLICATION OF COURT
OPINIONS
Common-law courts rely on judicial
precedent to interpret and apply the law,
so it is vital for judicial opinions on current
legal issues to be readily available to
courts and lawyers facing similar issues.
As a result, nearly all opinions and orders
are open public records. Access to these
records is constantly improving as a result
of technology. Judges now enter most
orders and opinions electronically so that
attorneys receive notice of court action
via system-generated email messages.
Electronically docketed materials are also
available to the public one day after they
are entered.
The federal courts’ electronic docketing
system allows the public to access court
records in multiple ways. The judiciary’s
internet-based system, Public Access to
Court Electronic Records (PACER, www.
pacer.gov), is an online service that allows
users to obtain free access to orders and
opinions from federal appellate, district,
and bankruptcy courts, and to search a
national index of case and party names.
Additional case and docket information on
PACER can be accessed for a nominal fee.
Courts also make their opinions available
to the public at no cost by directly posting
them to their public websites or providing
them to a free document repository
maintained by the Government Printing
Office. Most documents are also still
available for review and printing at any
courthouse.
In addition to court-initiated
distribution, private legal publishing
companies and research services, such
as Westlaw and Lexis/Nexis, make court
opinions, statutes, and other legal materials
available to the public on a commercial
basis. Law schools and other organizations
also collect court opinions, mainly from the
courts of appeals, and make them available
on the internet. Examples of collections
of Supreme Court and courts of appeals
opinions include:
FindLaw’s Cases and Codes section:
http://www.findlaw.com/casecode/
Cornell University Law School’s Legal
Information Institute:
http://www.law.cornell.edu
The justia.com U.S. Law page:
http://law.justia.com/
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................23
THE FEDERAL
JUDICIAL PROCESS
IN BRIEF
CIVIL CASES
A federal civil case involves a legal
dispute between two or more parties. To
begin a civil lawsuit in a federal court,
the plaintiff files a document called a
“complaint” with the court and “serves” a
copy of the complaint on the defendant.
The complaint is a short statement
that describes the plaintiff’s injury or
other legal claim and explains how the
defendant caused the injury or damage.
The complaint states a basis for the
court’s jurisdiction and asks the court to
order relief. A plaintiff may seek monetary
compensation for damages or ask the
court to order the defendant to stop the
conduct that is causing the harm. The court
may also order other types of relief, such
as a declaration of the legal rights of the
plaintiff in a particular situation.
To prepare a case for trial, the litigants
may conduct “discovery.” In discovery,
the litigants must provide information to
each other about the subject matter of
the case, such as the identity of witnesses,
the expected testimony of the witnesses,
and copies of any documents related to
the case. The purpose of discovery is to
prepare for trial and to prevent surprises
at trial by requiring the litigants to
assemble their evidence and prepare to
call witnesses before the trial begins. The
scope of discovery is broad, and the parties
themselves conduct discovery under the
procedural rules of the courts. Judges are
24............................................................................................................................The Administrative Office of the U.S. Courts
involved only to the extent necessary to
oversee the process and to resolve disputes
brought to their attention by the parties.
The discovery process often includes
taking “depositions.” In a deposition,
lawyers question a witness about the case
and the witness is required to answer under
oath and on the record, in the presence of
a court reporter. Another discovery tool is
the “interrogatory,” a written question one
party submits to another. Interrogatories
must also be answered under oath, and
in writing. A third common method of
discovery allows a party to demand that
another party produce documents and
other materials within its custody or control
or permit entry onto their property for
inspection or other purposes relating to
the litigation.
Each side may file requests, or
“motions,” with the court seeking rulings
on various legal issues. Some motions
ask for a ruling that determines whether
the case may proceed as a matter of law.
A “motion to dismiss,” for example, may
argue that the plaintiff has not stated a
claim under which relief may be granted
under the law, or that the court does
not have jurisdiction over the parties or
the claim at issue, and therefore lacks
the power to adjudicate. A “motion for
summary judgment” argues that there
are no disputed factual issues for a jury to
resolve, and urges the judge to decide the
case based solely on the legal issues. Other
motions focus on the discovery process,
addressing disputes over what information
is subject to the discovery rules, protecting
the private or privileged nature of certain
information, or urging the court to
preserve evidence for use at trial. Motions
may also address procedural issues such as
the proper venue for the case, the schedule
for discovery or trial, or the procedures to
be followed at trial.
As a result of ongoing civil justice
reforms, each district court must have a
formal plan to encourage civil litigants to
consider an alternative dispute resolution
(ADR) process at an appropriate time
during the litigation of their case. To
avoid the expense and delay of having
a trial, most judges conduct settlement
conferences with the parties. Under a
court’s ADR plan, the judge may refer a
case to a trained mediator or arbitrator to
facilitate an agreement. Magistrate judges
may act as the mediator or arbitrator in
many courts. As a result, litigants often
decide to resolve a civil lawsuit with a
“settlement,” a contractual agreement
between the parties that resolves their
dispute. Most civil cases are terminated by
settlement or dismissal without a trial.
If a case is not settled, the court will
proceed to a trial. In a wide variety of civil
cases, either side is entitled under the U.S.
Constitution to request a jury trial. If the
parties waive their right to a jury trial, the
case will be decided by a judge without a
jury.
During trial, witnesses testify by
answering attorneys’ questions under oath.
The judge supervises the questioning and
ensures that it complies with the formal
rules of evidence that are designed to
assure fairness, reliability, and the accuracy
of testimony and documents. At the
conclusion of the evidence, each side gives
a closing argument. If a case is tried before
a jury, the judge will instruct the jury on
the law and tell the jury what facts and
issues it must resolve. If the case is tried
by a judge without a jury, the judge will
decide both the facts and the law in the
case. In a civil case, the burden of proof
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................25
lies with the plaintiff, who must convince
the jury (or the judge if there is no jury)
by a “preponderance of the evidence” (i.e.,
that it is more likely than not) that the
defendant is legally responsible for any
harm that the plaintiff has suffered.
CRIMINAL CASES
The U.S. courts play no active role in
criminal investigations. The judiciary’s
role in the criminal justice process is to
apply the law, make legal and factual
decisions, and issue necessary orders.
The Department of Justice and other law
enforcement agencies in the executive
branch of government investigate and
prosecute crimes.
The adversarial process in a criminal
case is governed by the Federal Rules
of Criminal Procedure. The parties
in a criminal case are the United
States (through the U.S. attorney—
the Department of Justice prosecutor
representing the government) and the
defendant or defendants. The public and
individual crime victims also have some
recognized rights in a criminal case. In all
criminal cases, the defendant is presumed
innocent and the government bears the
burden of proving the guilt of the accused.
After a person is arrested, a pretrial
services officer or probation officer
immediately interviews the defendant
and conducts an investigation of the
defendant’s background. The pretrial
services and probation officers are
employees of the court, and judges may
use the information they collect to rule
on motions to detain a defendant before
trial. The court may detain the defendant,
release the defendant, set bail, or release
the defendant subject to conditions.
At an initial appearance, a judge
(normally a magistrate judge) advises the
defendant of the charges that he or she
faces, considers whether the defendant
should be held in custody until trial, and
determines whether there is “probable
cause” to believe that an offense has
been committed and the defendant has
committed it.
Defendants who are unable to hire their
own attorney are advised of their right to
a court-appointed attorney. Each district
court, by statute, is required to have a plan
in place for providing competent attorneys
to represent defendants who cannot afford
their own. The court may appoint a federal
public defender (a full-time federal official
appointed by the court of appeals), a
community public defender (a member of
a community-based legal aid organization
funded by a grant from the judiciary), or a
private attorney who has agreed to accept
such appointments from the court. In all
these types of appointments, the attorney
who represents the defendant is paid by
the court from funds appropriated to the
judiciary by Congress.
A defendant must be released while
awaiting trial unless the government
shows that he or she poses a flight risk,
is a danger to any other person or the
community, or may engage in criminal
activity during the period of release. Courts
may impose restrictions or conditions on
defendants released into the community
before trial. Conditions may include home
confinement, drug testing, electronic
monitoring, or periodic reports to a pretrial
services officer.
26............................................................................................................................The Administrative Office of the U.S. Courts
Under the U.S. Constitution, a felony
criminal case may only proceed beyond
the initial stages if the defendant is
indicted by a grand jury. The grand jury
reviews evidence presented to it by the
U.S. attorney and decides whether there is
sufficient evidence to require a defendant
to stand trial. The grand jury may act on a
matter before or after a suspect is arrested.
The defendant enters a plea to the
charges brought by the U.S. attorney at a
hearing known as an arraignment. Most
defendants—more than 90 percent—
plead guilty rather than go to trial. If a
defendant pleads guilty in return for the
government agreeing to drop certain
charges or to recommend a less severe
sentence, the agreement is called a “plea
bargain.” The court reviews and usually
approves most plea bargains, and the
Federal Rules of Criminal Procedure
require the presiding judge to question
the defendant in open court to ensure
that the plea is voluntary, the defendant
understands the consequences of the
plea, and the government has a factual
basis for the charges. If the defendant
then pleads guilty, the judge will normally
accept the plea and schedule the
sentencing following the completion of a
presentence investigation. A defendant is
normally detained pending the sentencing
determination, unless the judge finds by
clear and convincing evidence that the
defendant is not likely to flee or pose a
danger to others. If the defendant pleads
not guilty, the judge will schedule a trial.
Criminal trials involve pretrial discovery
similar to civil case discovery, but with
restrictions to protect the identity of
government informants and prevent
intimidation of witnesses. The attorneys
may also file pretrial motions challenging
evidence or seeking to limit testimony
before the trial. For example, defense
attorneys often file a motion to suppress
evidence that the defendant believes was
obtained by the government in violation of
the defendant’s constitutional rights.
In all criminal cases, except petty
offenses, the defendant has the right to
a jury trial. The government’s prosecutor
bears the burden of proof and must
provide evidence to convince the jury of
the defendant’s guilt. The standard of proof
in a criminal trial is much higher than in
a civil case. The proof must be “beyond
a reasonable doubt,” which means the
prosecutor’s evidence must be so strong
that there is no reasonable doubt that
the defendant committed the crime. The
defendant has no obligation to present
evidence. Throughout the trial, the judge
decides procedural issues and rules on
various matters raised by the parties. After
the government and the defense conclude
their arguments, the judge instructs the
jury on the law and the decisions that it
must make.
The Fifth Amendment of the U.S.
Constitution prohibits “double jeopardy,”
or being tried twice for the same offense.
If a defendant is found not guilty, or
“acquitted,” the defendant is released and
the government may not appeal. Nor may
the defendant be charged again with the
same crime.
Should the defendant be found guilty,
the judge will determine the defendant’s
sentence by considering several sentencing
factors provided by statute, including
the nature and circumstances of the
offense, the history and characteristics
of the defendant, the kinds of sentences
available, the U.S. Sentencing Guidelines,
pertinent policy statements, the need to
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................27
avoid unwarranted sentencing disparities,
and the need to provide restitution. The
law requires that the judge impose a
sentence that is sufficient, but not greater
than necessary to achieve the following
sentencing purposes:
• to reflect the seriousness of the
offense, to promote respect for the
law, and to provide just punishment
for the offense;
• to afford adequate deterrence to
criminal conduct;
• to protect the public from further
crimes of the defendant; and
• to provide the defendant with
needed education or vocational
training, medical care, or other
correctional treatment in the most
effective manner.
Over the past several years, there
have been significant changes in federal
sentencing law. The sentencing guidelines
were initially designed to be mandatory,
but in 2005 the U.S. Supreme Court ruled
that the mandatory guideline scheme
was unconstitutional. Thus, the courts
were instructed to treat the guidelines
as advisory. The sentencing court must
give respectful consideration to the
guidelines, but the court may tailor
the sentence in light of other statutory
concerns as well. Accordingly, although
the guidelines provide a starting point and
the initial benchmark, courts may impose
sentences within statutory limits based
on appropriate consideration of all of the
factors listed in the sentencing statute. See
18 U.S.C. § 3553(a).
Because the sentencing guidelines
provide the initial benchmark for
sentencing courts, it is important to
understand how they operate. The U.S.
Sentencing Commission, an organization
within the judicial branch, issues the
guidelines.
The guidelines operate by reference to
a sentencing table that provides sentencing
ranges determined by “offense level” and
the offender’s “criminal history category.”
The top of each sentencing range exceeds
the bottom by six months or 25 percent
(whichever is greater).
To calculate a guideline sentence, the
court will assign most federal crimes to
one of 43 “offense levels.” The Federal
Sentencing Guidelines Manual lists
different categories of point values that are
combined to set the defendant’s offense
level. Points are assigned for the base
offense, different kinds of offense conduct,
and other factors, such as the offender’s
role in the offense, or crimes targeting
individuals because of their vulnerability,
race, color, religion, national origin,
ethnicity, gender, gender identity, disability,
or sexual orientation.
Once the offense level is set, each
offender is assigned to one of six “criminal
history categories” based upon the extent
and recency of the individual’s past
misconduct.
As a simplified example, the base
offense level for robbery is 20 points;
brandishing a gun during a robbery
increases the offense level by 5 points; if a
victim was physically restrained to facilitate
escape, an additional 2 points are added to
the offense level. If the robber targeted a
vulnerable child in a wheelchair, the offense
level would then be elevated by 2 points,
resulting in a total of 29 points. However,
if the person accepts responsibility for
his actions by entering a guilty plea, the
28............................................................................................................................The Administrative Office of the U.S. Courts
offense level would be reduced by 3 points,
resulting in a total of 26 points. With an
offense level of 26, an offender with a
minimal criminal history (Category I) may
have a guideline sentence of 63-78 months
of imprisonment; an offender with the
most serious category of criminal history
(Category VI) might have a guideline
sentence of 120-150 months. Although
this simplified example illustrates how the
Federal Sentencing Guidelines are used to
calculate guideline sentences, most cases
will involve additional sentencing factors
outlined systematically in the Federal
Sentencing Guidelines Manual.
As previously explained, a judge is
not required to follow the guideline
recommendation for sentencing, but the
guideline sentence must be correctly
calculated and considered when
determining the appropriate sentence for
a defendant. The judge is also directed
to consider other statutorily designated
factors at sentencing. The judge has the
option of a within-guideline sentence, a
below-guideline sentence, or an aboveguideline sentence based upon the analysis
of the other statutory factors previously
listed. Each crime has a statutorily set
maximum which may not be exceeded.
Some crimes have a statutory mandatory
minimum sentence. In all cases, judges
must state the reasons for a sentence.
Sentences are subject to review by the
courts of appeals for “unreasonableness,”
and may be reviewed for incorrect
application of the relevant guidelines or
law.
In most cases, a judge waits for the
results of a presentence investigation
report prepared by the court’s probation
office before imposing a sentence. The
presentence investigation report includes
a detailed account of the circumstances
of the offense, and the defendant’s
background and criminal history. The
government and the defendant are both
given an opportunity to object to or correct
material presented in the presentence
investigation report before it is finalized.
The presentence investigation report
concludes by applying information about
the defendant and details of the offense
to the sentencing guidelines. During
sentencing, the judge may consider not
only the evidence produced at trial, but
relevant information that may be provided
by the pretrial services officer, the U.S.
attorney, and the defense attorney. In some
cases, the parties may have agreed to
stipulate some offense characteristics as a
provision of their plea agreement (such as
the quantity of drugs involved in an illegal
narcotics sale). The judge may depart from
the sentencing range under the sentencing
guidelines, but for many offenses, statutes
set mandatory minimum sentences that
limit the range of a judge’s sentencing
discretion.
A sentence may include time in prison,
a fine to be paid to the government,
community service, and restitution to be
paid to crime victims. If the convicted
defendant is released, the court’s probation
officers assist the court in enforcing any
conditions that are imposed as part of
a criminal sentence. The supervision of
offenders also may involve services such
as substance abuse testing and treatment
programs, job counseling, and alternative
detention options, such as home
confinement or electronic monitoring.
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................29
JURY SERVICE
One of the most important ways
individual citizens become involved with
the federal judicial process is by serving as
jurors. There are two types of juries serving
distinct functions in the federal trial courts:
trial juries (also known as petit juries), and
grand juries.
The functioning of a trial jury varies
slightly depending upon whether the trial
is for a civil or criminal case. A civil trial
jury typically consists of 6 to 12 persons,
while a criminal trial jury is made up of 12
jurors. In a civil case, the role of the jury
is to listen to the evidence presented, to
decide whether the defendant injured the
plaintiff or otherwise failed to fulfill a legal
duty to the plaintiff, and to determine what
the remedy, compensation, or penalty
should be. Criminal juries decide whether
the defendant committed the crime as
charged and a judge usually determines
the defendant’s sentence. Verdicts in
both civil and criminal cases must be
unanimous, unless the parties in a civil case
agree to a non-unanimous verdict. A jury’s
deliberations are conducted in private, out
of sight and hearing of the judge, litigants,
witnesses, and others in the courtroom.
A grand jury, which consists of 16 to
23 members, has a specialized function to
perform before a felony criminal case is
filed in the district court. The U.S. attorney,
the prosecutor in federal criminal cases,
presents evidence to the grand jury for
the members to determine whether there
is “probable cause” to believe that an
individual has committed a crime and
should be put on trial. If the grand jury
decides there is enough evidence, it will
issue an indictment against the defendant.
Grand jury proceedings are not open for
public observation.
Potential jurors are selected from any
source that will yield a representative
sample of the judicial district’s population.
Most often, jurors are chosen from a pool
generated by random selection of citizens’
names from lists of registered voters,
or combined lists of voters and people
with drivers’ licenses. The potential jurors
complete questionnaires to help determine
whether they are qualified to serve on a
jury. After reviewing the questionnaires,
the court randomly selects individuals to
be summoned to appear for jury duty.
These selection methods help ensure that
jurors represent a cross section of the
community, without regard to race, gender,
national origin, age, or political affiliation.
Jurors receive modest compensation and
expenses from the court for their service.
Being summoned for jury service
does not guarantee that an individual
will actually serve on a jury. When a jury
is needed for a trial, a group of qualified
jurors sit in the courtroom where the trial
will take place. The judge and the attorneys
then ask the potential jurors questions to
determine their suitability to serve on the
jury, a process called voir dire. The purpose
of voir dire is to exclude from the jury
people who may not be able to decide the
case fairly. The judge typically will excuse
potential jurors who know any person
involved in the case, who have information
about the case, or who may have strong
prejudices about the people or issues
involved in the case. The attorneys may
also exclude a limited number of jurors
without giving a reason.
30............................................................................................................................The Administrative Office of the U.S. Courts
Juror Qualifications and
Exemptions
Terms of Jury Service
Qualifications to be a Juror:
Length of Service:
• United States citizen
• trial jury service varies by court
• at least 18 years of age
• some courts require service for one
day or for the duration of one trial;
others require service for a fixed term
• reside in the judicial district for one
year
• adequate proficiency in English
• no disqualifying mental or physical
condition
• not currently subject to felony charges
• never convicted of a felony (unless
civil rights have been legally restored)
Exemptions from Service:
• active duty members of the armed
forces
• members of police and fire departments
• certain public officials
• others based on individual court
rules (such as members of voluntary
emergency service organizations and
people who recently have served on a
jury)
• grand jury service may be up to 24
months
Payment:
• $40 per day; in some instances jurors
may also receive meal and travel
allowances
Employment Protections:
• By law, employers must allow
employees time off (paid or unpaid)
for jury service. The law also forbids
any employer from firing, intimidating,
or coercing any permanent employee
because of his or her federal jury
service.
Excuse from Service:
• may be granted at the court’s
discretion on the grounds of “undue
hardship or extreme inconvenience”
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................31
BANKRUPTCY CASES
Federal courts have exclusive
jurisdiction over bankruptcy cases. This
means that a bankruptcy case may not be
filed in a state court. Under the Bankruptcy
Code enacted by Congress (Title 11 of the
U.S. Code), bankruptcy judges operate the
bankruptcy courts within the district courts.
The primary purposes of the Bankruptcy
Code are:
1. to give an honest debtor a “fresh
start” in life by relieving the debtor of
most debts;
2. to repay creditors in a fair and orderly
manner to the extent that the debtor
has property available for payment;
3. to reorganize a failing business by
restructuring debt or the business
entity itself, or, alternatively, to
provide a framework for the orderly
liquidation of the failed enterprise;
and
4. to deter and remedy dishonest
actions by debtors or creditors that
would have the effect of undermining
the purposes of bankruptcy law.
Bankruptcy law creates predictability
and harmony in the marketplace by
providing the risk parameters for creditors
in extending credit to debtors. Further,
the bankruptcy courts provide commercial
dispute resolution options between
debtors and creditors once problems arise
in their relationship, providing stability
to the marketplace. Lastly, bankruptcy
promotes entrepreneurialism since it
allows a fresh start for those who start new
businesses, but fail for some reason.
In the United States, unlike many other
countries, filing for bankruptcy is usually
voluntary. In other words, it is initiated by
a debtor for protection against creditors,
rather than by creditors to facilitate the
collection of their claims from a common
debtor. A voluntary bankruptcy case
normally begins when the debtor files
a petition with the bankruptcy court. A
petition may be filed by an individual, by
spouses together, or by a corporation,
partnership, or other business entity.
All individuals filing under any chapter
of the Bankruptcy Code must have received
credit counseling from an approved credit
counseling agency either in an individual
or group briefing within 180 days before
filing for bankruptcy. There are exceptions
in emergency situations or where the
U.S. trustee or bankruptcy administrator
determines that there are insufficient
approved agencies to provide the required
counseling. In most states, the U.S. trustee
or bankruptcy administrator is responsible
for approving the providers that offer this
special pre-bankruptcy briefing.
Creditors also may file involuntary
bankruptcy petitions against debtors who
are not paying their debts. Involuntary
petitions are rare in the United States,
where debtors voluntarily commence
more than 99 percent of all bankruptcy
cases. A debtor who contests a creditor’s
petition may not be placed into bankruptcy
involuntarily unless the creditor can show
that certain statutory requirements are
met. Requirements include legal standing
by the creditor to file the petition, and
a showing that the debtor is not paying
debts as they become due.
A debtor, whether in a voluntary or
involuntary process, is required to file
statements listing assets, income, liabilities,
32............................................................................................................................The Administrative Office of the U.S. Courts
and the names and addresses of all
creditors and how much each is owed. The
filing of a bankruptcy petition automatically
prevents, or “stays,” virtually all collection
actions against the debtor and the debtor’s
property (with some notable exceptions
specified by the Bankruptcy Code such as
criminal actions against the debtor). As
long as the stay remains in effect, creditors
cannot initiate or continue lawsuits,
garnish wages, seize property subject to
mortgages or other security interests,
or even make demands for payment,
without first obtaining permission from the
bankruptcy court. Creditors receive notice
from the clerk of court that the debtor has
filed a bankruptcy petition, and they are
required to file proofs of claim in order to
receive any share of a distribution from the
debtor’s property.
More than 70 percent of bankruptcy
cases are filed under Chapter 7 of
the Bankruptcy Code, which involves
liquidation of the debtor’s property. In
these cases, the U.S. trustee or bankruptcy
administrator, a government officer
appointed to supervise the administration
of the bankruptcy process, appoints a
trustee in bankruptcy to take control of
the debtor’s property (excluding some
property that is exempt from seizure). The
case trustee, a private individual such as
a lawyer or accountant, then liquidates
the property and distributes it to creditors
according to a schedule of priorities
established by the Code. The trustee is
also responsible for challenging unjustified
claims by creditors, investigating possible
misconduct by the debtor before and
during the bankruptcy, and recovering
claims that the bankruptcy estate may
have against third parties. Such claims can
be brought against parties that may have
Types of Bankruptcy
Proceedings
The Bankruptcy Code provides three
basic types of bankruptcy proceedings:
• Liquidation of the debtor’s property
(except for certain exempt property)
and distribution of the proceeds, if
any, to creditors. (Chapter 7)
• Debt adjustment by an individual
debtor or husband and wife that
allows them to repay their creditors,
in whole or in part, over a period of
up to five years in accordance with a
detailed plan approved by the court.
(Chapter 13)
• Reorganization of the financial affairs
of a debtor, usually a business,
through a plan that is submitted for
approval by both creditors and the
court. (Chapter 11)
received fraudulent transfers or preferential
payments from the debtor during the
period immediately before bankruptcy.
At the end of the liquidation process,
individual debtors receive a “discharge” of
pre-bankruptcy claims against them, except
for certain categories of claims that may
not be discharged, such as “child support”
or unpaid taxes.
Any party in interest, including
creditors and the trustee, may object to
the discharge of a particular claim or to
the debtor’s general discharge, on grounds
such as fraud by the debtor. If a timely
objection is made, the bankruptcy judge
THE FEDERAL COURT SYSTEM IN THE UNITED STATES..............................................................................................................33
will hold a hearing and rule on whether
discharge of a challenged claim or a
general discharge of debts is allowable
under the law. Litigation may also occur in
a bankruptcy case over such matters as to
who owns certain property, how it should
be used, what the property is worth, or
how much is owed on a debt. Litigation
in the bankruptcy court is conducted in
much the same way that civil cases are
handled in the district court, but generally
there are no rights to a jury trial in
bankruptcy cases. (Defendants in a small
number of bankruptcy related actions,
such as fraudulent conveyance actions,
may be entitled to a jury.) In a bankruptcy
case, there may be discovery, pretrial
proceedings, settlement efforts, and a trial.
In most liquidation cases involving
debtors who are consumers, there is little
or no property in the bankruptcy estate to
pay creditors. In these cases, the debtor will
routinely receive a discharge, with little or
no litigation.
Bankruptcy cases may also be filed
to allow debtors to reorganize their
debts and other financial obligations
and establish a plan to repay creditors.
Under Chapter 11 of the Bankruptcy Code,
financially troubled businesses may obtain
court approval of a plan to repay their
creditors without immediately liquidating
their assets. Unlike “compositions” or
other types of non-liquidation creditor
arrangements in other countries, Chapter
11 is part of U.S. bankruptcy law and occurs
under the supervision of a bankruptcy
judge. A trustee is not normally appointed
in Chapter 11 proceedings. Instead, the
debtor continues to operate its business,
subject to court supervision.
The ultimate purpose of Chapter 11 is
to confirm a plan of debt reorganization
for the debtor. At least one committee
of creditors is appointed to monitor
the debtor and to negotiate a plan of
reorganization. All plans must be submitted
to the bankruptcy court, along with
proposed disclosure statements explaining
to parties in interest what their rights will
be under each plan. If the court confirms
the plan, the reorganized entity emerges
from Chapter 11, with the obligations
established by the plan replacing its
pre-bankruptcy obligations. If no plan
is confirmed, or if a party in interest
persuades the court that a reorganization
would not be practicable, the court may
dismiss the reorganization case or convert
it to a liquidation under Chapter 7.
Chapter 13 of the Bankruptcy
Code creates a simpler kind of debt
reorganization for individuals with regular
continuing incomes, subject to certain
maximum limits on the amount of debt.
Under Chapter 13, the debtor proposes
a plan for repaying debt from future
earnings rather than through liquidation
of the debtor’s property. Plans of this kind
typically provide that all of the debtor’s
disposable income for a period of three
to five years will be devoted to repaying
creditors. If the court finds that the plan is
proposed in good faith, it may confirm the
plan, even over the objections of creditors.
A trustee is appointed to supervise the
execution of the plan. The debtor will pay
everything required under the plan to the
trustee, who in turn will pay creditors in
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