Chapter 15

The Federal

Courts

The Federal Courts

The Legal System

• “A government of laws and not of men.”-John Adams, describing the new Massachusetts state constitution

• Rule of law: all are equal before the law and none are immune from it.– Fundamental fairness expectation Americans have of the

judicial system• “That’s not fair” is a tacit reference to rule of law

The Legal System

• Criminal law: the branch of law that regulates the conduct of individuals, defines crimes, and specifies punishments for criminal acts.– Government is always the plaintiff– Defendant cannot be forced to testify– Standard: guilty beyond a reasonable doubt– Penalties: fines, public service, imprisonment, death

The Legal System

• Civil law: the branch of law that deals with disputes that do not involve criminal penalties.– Plaintiff is the party that has been legally wronged– Defendant can be forced to testify– Standard: preponderance of evidence– Penalties: typically monetary

The Legal System

• Precedent: previous decisions from prior cases that are used to understand how a law is applied

• Stare decisis: “let the decision stand”– The use of precedent in a current case– The court is hesitant to overturn precedent

Types of Courts

• State versus federal• Trial versus appellate• State supreme court

The U.S. Court System

Types of Courts

• State vs. federal courts– Depends on the law in question

• Federal law Federal court• State law State court

• State cases can be appealed in the federal system if there has been a violation of the U.S. Constitution.

Types of Courts

• Trial vs. appellate– Trial courts apply law to the facts of a given case.

• Facts of the case are introduced• Judges and juries make sense of how facts relate to law.• Trial cases take both law and precedent into account.

Types of Courts

• Trial vs. appellate– Appellate courts examine whether the law has been

applied correctly in a trial court case.• New facts cannot be introduced.• If new facts are available, the case goes back to a trial

court.

• Appeals courts hear far fewer cases than trial courts– Typically dwell on complicated elements– Sole concern: whether laws applied correctly

The Supreme Court

Types of Courts

• Supreme Court– The court of last resort– Has final interpretation over the Constitution and statutory

law, be it state or federal– No state constitution can run contrary to the federal

constitution– Recall, the Supreme Court is an appellate court

• No new facts allowed

Types of Courts

• Jurisdiction: where court has authority, power• Federal court domain includes:

– Cases between states– Ambassadors– Federal law– U.S. Constitution

• State and local courts have no say in the kinds of cases listed above.

The Federal Courts

Types of Courts

• Federal courts:– 94 judicial districts, plus three for territories– 11 regional circuits, plus one for the District of Columbia– U.S. Court of International Trade– U.S. Court of Federal Claims– U.S. Court of Appeals for the Federal Circuit– U.S. Court of Veterans Appeals– U.S. Court of Military Appeals

Types of Courts

• Habeas corpus– A prisoner can appeal for a writ of habeas corpus to a

court, claiming a violation of rights.– For a federal court to intervene in a state case, the

prisoner must argue that a federal right has been violated.

Federal Jurisdiction

• In 2008:– Federal district courts heard 349,969 cases.– Federal courts of appeal heard 61,104 cases.– U.S. Supreme Court heard 75 cases.

• Procedures of note– Only hear appeals they determine have merit– Three judges on the panel (no jury)

Federal Trial Courts

• Original jurisdiction: the ability to hear a case for the first time

• Appellate jurisdiction: the power to hear appeals from a lower court

Federal Appellate Courts

• 89 courts in 50 states, +1 Puerto Rico, +1 D.C., three territories– Staffed by 679 judges– Almost always one judge per case

• All areas of the United States and territories are covered by one of 12 circuit courts.– Each court has six to 28 judges.– Each trial usually has three judges.

Federal Appellate Courts

How Judges Are Appointed

The U.S. Supreme Court

• Nine justices– Chief justice and eight associate justices

• System of equals, which functions on seniority basis• All judges have equal say, and each has one vote.• If chief justice sides with the majority opinion, he

assigns the writing of the majority opinion.• If chief sides with the minority opinion, the most senior

justice in the majority does.

How Judges are Appointed

• Senatorial courtesy– Senators from the president’s party suggest nominees for

district courts in their state when an opening appears.– President chooses from the list, then the Senate confirms.– The confirmation process has become highly political in

recent decades.

Supreme Court Justices, 2009 (in Order of Seniority)

WHO ARE AMERICANS?

Who Are Federal Judges?

CHAPTER 15

WHO ARE AMERICANS?

Federal Judges in 2009, by Race and Gender

White men 860

SOURCE: Russell Wheeler, “The Changing Face of the Federal Judiciary” (Washington, DC: Brookings Institution, 2009). Data are from August 2009.

African American men 84

Hispanicmen58

White women 225

African American women 40

Hispanicwomen26

= 10 federal judges

WHO ARE AMERICANS?

Appointments to Federal Courts, by Administration

African America men

African American women

SOURCE: Russell Wheeler, “The Changing Face of the Federal Judiciary” (Washington, DC: Brookings Institution, 2009).

White men

White women

Hispanic men

Hispanic women

Asian America men

Asian American women

KENNEDY/JOHNSON

NIXON/FORD CARTER REAGAN G.H.W. BUSH CLINTON G.W. BUSH OBAMA

36%

27%

10%

7%

5%

5%

2%

3%

93%

1%

4%

<1%

1%

95%

<1%

3%

1%

66%

12%

12%

3%

6%

<1%

86%

7%

1%

<1%

5%

<1%

72%

16%

7%

1%

4%

52%

23%

12%

4%

6%

2%

67%

16%

5%

2%

6%

4%

The Power of the SupremeCourt: Judicial Review

Judicial Review

• Judicial review: the power of the courts to review and, if necessary, declare actions of the legislative and executive branches invalid or unconstitutional.

• The U.S. Constitution does not mention judicial review.– Marbury v. Madison (1803)

Judicial Review of Acts of Congress

• Supremacy Clause and Judicial Act of 1789– All state laws and actions must be in conformity with the

U.S. Constitution, federal laws, and treaties.

Judicial Review of State Actions

Judicial Review of Federal Actions

• Congress’s dilemma: make laws too broad, and the executive branch can subvert them; make them too narrow, and they cannot adapt over time.

• The Court is hesitant to overturn executive-branch decisions because Congress can do so.

Judicial Review and Presidential Power

• Historically, the Court is hesitant to judge presidential authority during wartime.– Allowed imprisonment of

Japanese Americans in WWII

– Deferential to handling of “enemy combatants” during Iraq War

Judicial Review and Lawmaking

Judicial Review and Lawmaking

• Common law: body of law stemming from judges, not from statutes– Allows courts to function in the absence of lawmaking, just

as executive orders do

• Appellate courts also make rules that apply to how courts decide cases.

Rules of Access

• “Cases and Controversies”: there must be an actual dispute, not a hypothetical one.

• Standing: a party must have standing to sue by being a stakeholder in the outcome.

• Standing gives the legal right to initiate a case.• Mootness: a criterion used to dismiss cases that no

longer require a resolution.– The issue is resolved; nothing to address.

Cases Filed in U.S. Supreme Court

Writ of Certiorari

• SCOTUS is more likely to “grant cert” to cases where:– An important civil right or civil liberty is at stake.– Appellate courts have ruled differently on the same law,

and it needs to be applied universally.– The federal government is filing the appeal.

Solicitor General

• Federal government’s top lawyer – All cases before the Supreme Court are argued by an

attorney from the solicitor general’s office, often by the solicitor general himself or herself.

– When the solicitor general requests a writ of certiorari, the justices take the request extremely seriously.

Amicus Curiae

• Amicus briefs can be filed by any stakeholder in a case, even if that person is not directly involved in the litigation.– Useful sources of legal interpretation and facts

Lobbying for Access

• Some interest groups have long-term legal strategies.– Bring test cases under the most favorable circumstances– Bring cases in specific circuits, expecting the appeals court

to side a certain way– Have access to top experts in the field

The Supreme Court’s Procedures

The Supreme Court’s Procedures

The Supreme Court’s Procedures

• Preparation– Both sides submit briefs, as do other interested parties.– The attorneys will also prepare extensively for the

questions they may face.– By the time a case reaches the Supreme Court, the

original attorneys may be replaced by more experienced attorneys.

The Supreme Court’s Procedures

• Oral argument– The Court meets three times per week when in session.– Each side gets a half hour, with many interruptions.– Sometimes, several different attorneys will address

different aspects of the argument.

The Supreme Court in Action

The Supreme Court’s Decision-Making Process

The Supreme Court’s Procedures

• The conference– Justices meet by themselves on Wednesdays and Fridays

when in session.– Hold an initial vote– Chief justice or most senior justice will assign a justice to

write the majority opinion.– Usually the dissenting opinion is assigned as well.– Most opinions are written by the clerks under the

supervision of the justice.

Traditional Limitations on the Court

• Standing limits the ability of many to bring issues into the courts.– Members of Congress have repeatedly tried to force the

president to obey the War Powers Act.

• The Court is willing to protect classes, but hesitant to remedy with broad reparations.

• The Court has no mechanism to force the other branches to obey.

• Congress can limit access to the Court.

Public Opinion Poll

Do you think federal judges should be appointed for

life terms, limited terms, or elected?

a) Federal judges should be appointed for life.

b) They should have limited appointment terms.

c) Federal judges should be elected.

Public Opinion Poll

Do you believe the decisions of the federal courts are

primarily driven by legal doctrine or individual judge’s

political ideology?

a) Legal doctrine

b) Political ideology

Public Opinion Poll

Do you believe members of the U.S. Senate should

have the ability to block the judicial nominations based

solely on the nominee’s political ideology and party?

a) Yes

b) No

Public Opinion Poll

Do you believe the U.S. Supreme Court should televise

or online stream their proceedings?

a) Yes

b) No

Public Opinion Poll

Compared to the presidency and the Congress, do you

think the Court has too little, too much, or the right

amount of influence on American policy and law?

a) Too little influence

b) Too much influence

c) About right amount

Chapter 15: The Federal Courts

• Quizzes

• Flashcards

• Outlines

• Exercises

wwnorton.com/we-the-people

Following this slide, you will find additional images, figures, and tables from the textbook.

Cases and the Law

Digital Citizens

Two Judicial Revolutions

The Supreme Court and International Law