JUS261R5958 Southern New Hampshire American Federal Court System Paper

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This is an opportunity for you to check and demonstrate your knowledge of how a case moves through the three tiers of the American federal court system, which are the district courts, the circuit courts of appeal, and the US Supreme Court. 

Specifically, the following critical elements must be addressed:  

Tiers: Describe the three tiers of the American federal court system, which are the district courts, the circuit courts of appeal, and the U.S. Supreme Court.  

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 district court and the U.S. Supreme Court.

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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. 2............................................................................................................................The Administrative Office of the U.S. Courts 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 the...
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RUNNING EAD: THE JUDICIAL SERVICE IN THE UNITED STATES

THE JUDICIAL SERVICE IN THE UNIED STATES
The Federal Court System in the United States
STUDENTS NAME
PROFESSORS NAME
COURSE
DATE

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The Federal Court System in the United States

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Tiers: Describe the three tiers of the American federal court system, which are the district
courts, the circuit courts of appeal, and the U.S. Supreme Court.
The American court system is categorized into three tiers. They include the Federal
courts and Congress, the federal court and the executive branch and the federal courts and the
public. The federal court with Congress determines how the federal courts operate. The federal
court and the executive consist of the President appoints lifetime constitutional judges who are
approved by the Sen...


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